Nex Systems
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Ameritas Investment Corp.

Regulator action

United States. Named in 4 sanctions listings.

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Sanctions and listings4

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2006006364302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ameritas Investment Corp., Respondent B/D No. 14869 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Ameritas Investment Corp. ("Ameritas"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2006006364302data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041675701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ameritas Investment Corp., Respondent CRD No. 14869 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ameritas Investment Corp. ("AIC" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014041675701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043583901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Ameritas Investment Corp., Respondent Member Firm CRD No. 14869 to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent

    Reference 2015043583901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015046904101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Ameritas Investment Corp., Respondent ("AIC") CRD No. 14869 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AIC submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2015046904101finra.orgdata-portal.finra.org

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