Nex Systems
Type not stated

Arbor Research & Trading 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

    03/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052227601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arbor Research & Trading, LLC, Respondent CRD No. 21313 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2017052227601finra.orgdata-portal.finra.org

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