Nex Systems
Type not stated

ARCHER ALEXANDER SECURITIES 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

    10/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420030634-02 To: Department of Enforcement NASD Re: Archer Alexander Securities Corporation Member (CRD No. 41555) Pursuant to NASD Procedural Rule 9216, Archer Alexander Securities Corporation (AASC) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part below. This AWC is submitted on the condition that, if

    Reference E042003063402finra.orgdata-portal.finra.org

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