Nex Systems
Type not stated

ALTERNATIVE WEALTH STRATEGIES INC.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/31/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2010021058401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alternative Wealth Strategies, Inc., Respondent Former Member Firm CRD No. 130933 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2010021058401finra.orgdata-portal.finra.org

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