Nex Systems
Type not stated

AS SUCCESSOR TO WELLS FARGO INVESTMENTS 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

    06/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023976502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wells Fargo Advisors, LLC, (CRD No. 19616) as successor to Wells Fargo Investments, LLC (CRD No. 10582) Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent Wells Fargo Advisors, LLC ("WFA" or the "Firm"), as successor to Wells Fargo Investments, LLC ("WFI") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2010023976502data-portal.finra.orgfinra.org

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