Nex Systems
Type not stated

Ascensus Financial Services 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

    10/31/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052209901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ascensus Financial Services, LLC, Respondent CRD No. 147257 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ascensus Financial Services, LLC ("Ascensus" or the "Firm") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2017052209901data-portal.finra.orgfinra.org

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