Nex Systems
Type not stated

AUTOMATED TRADING DESK BROKERAGE 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

    05/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090178620-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Automated Trading Desk Brokerage Services, LLC, Respondent Broker-Dealer CRD No. 36000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Automated Trading Desk Brokerage Services, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2009017862001data-portal.finra.orgfinra.org

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