Nex Systems
Type not stated

APS FINANCIAL CORPORATION

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

    08/25/2010: FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003644602 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: APS Financial Corporation, Respondent Broker-Dealer CRD No. 10033. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, APS Financial Corporation (the "firm" or "APSS") submits this Letter of Acceptance, Waiver and Consent (''AWC") forthe purpose of proposing a settlement of the alleged rule violations described

    Reference 2005003644602data-portal.finra.orgfinra.org

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