Nex Systems
Type not stated

ALVAREZ & MARSAL SECURITIES LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011639901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alvarez & Marsal Securities, LLC, Respondent BD No. 127858 Respondent General Securities Principal CRD No. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alvarez & Marsal Securities, LLC ("AMS" or the "Firm") and (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2008011639901finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.