Nex Systems
Type not stated

ARIEL DISTRIBUTORS 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

    06/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050056 To: Department of Enforcement NASD Re: Ariel Distributors, Inc. Broker Dealer (CRD No. 38333) Pursuant to Rule 9216 of NASD Code of Procedure, Ariel Distributors, Inc. ("Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted NASD will not bring any future actions

    Reference C8A050056finra.orgdata-portal.finra.org

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