Nex Systems
Type not stated

AQUA SECURITIES L. P.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130272436-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Aqua Securities L.P., Respondent Broker-Dealer CRD No. 47681 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aqua Securities L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2013037243601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.