Nex Systems
Type not stated

BANC ONE SECURITIES CORP.

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

    12/27/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002262901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Banc One Securities Corp., Respondent CRD No. 16999 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent Banc One Securities Corp. ("BOSC" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2005002262901data-portal.finra.orgfinra.org

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