Nex Systems
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ANDREW CY BANKS

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

    01/14/2008: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094478 TO: Department of Enforcement FINRA RE: Andrew Cy Banks Registered Representative CRD No. 1186771 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Andrew Cy Banks ("Banks") 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 accepted, FINRA will not bring any future actions against Banks

    Reference 2007009447801data-portal.finra.orgfinra.org

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