Nex Systems
Type not stated

Axos Clearing 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

    06/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058344301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Axos Clearing LLC,1 Respondent Member Firm BD No. 117176 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Axos Clearing LLC ("Axos Clearing" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2018058344301data-portal.finra.orgfinra.org

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