Nex Systems
Type not stated

American Financial Associates 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

    08/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035119901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: American Financial Associates, Inc. (BD No. 29049), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure American Financial Associates, Inc. ("American Financial" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2013035119901data-portal.finra.orgfinra.org

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