Nex Systems
Type not stated

AUSTIN SECURITIES INC.

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

    05/20/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. AUSTIN SECURITIES, INC. (BD No. 17094) -and- BRIAN R. MITCHELL (CRD No. 1191608) Respondents. Disciplinary Proceeding No. CL1050009 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement alleges the following: JURISDICTION 1. Respondent Austin Securities, Inc. ("Austin"), a broker-dealer, has been an NASD member since in or around September 1986.

    Reference 2005001017102data-portal.finra.orgfinra.org

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