Nex Systems
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AURIGA USA 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

    03/31/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130377885-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Auriga USA, LLC, Respondent Broker-Dealer CRD No. 121731 Pursuant to FINRA Rule 9216 of F1NRA's Code of Procedure, Auriga USA, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013037788501finra.orgdata-portal.finra.org

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