Nex Systems
Type not stated

American Independent Securities Group LLC

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

    03/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060267902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: American Independent Securities Group, LLC Member Firm CRD No. 135288 Ryan Carlson General Securities Principal CRD No. 4209072 Nicholas Cioffi Former General Securities Principal CRD No. 1090646 Pursuant to FINRA Rule 9216, Respondents American Independent Securities Group, LLC, Ryan Carlson, and Nicholas Cioffi submit this

    Reference 2018060267902data-portal.finra.orgfinra.org

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