Nex Systems
Type not stated

as successor to J.P Morgan Clearing Corp.

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

    12/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047091401 TO: Department of Enforcement Financial Industry Regulatory (“FINRA”) RE: J.P. Morgan Securities LLC, Respondent (BD No. 79), as successor to J.P. Morgan Clearing Corp. (BD No. 28432) Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, J.P. Morgan Securities, LLC ("JPMS") or the "Firm"), as successor to J.P. Morgan Clearing Corp. ("JPMCC"),

    Reference 2015047091401data-portal.finra.orgfinra.org

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