Nex Systems
Type not stated

ARCHIPELAGO TRADING SERVICES INC.

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

    11/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130362579-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Archipelago Trading Services, Inc., Respondent Broker-Dealer CRD No. 15853 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Archipelago Trading Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013036257901data-portal.finra.orgfinra.org

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