Nex Systems
Type not stated

ASSOCIATED SECURITIES CORP.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050008441-01 TO: Department of Market Regulation NASD RE: Associated Securities Corp., Respondent Broker-Dealer CRD No. 12969 Pursuant to Rule 9216 of NASD Code of Procedure, Associated Securities Corp. ("ASED") 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

    Reference 2005000844101finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.