Nex Systems
Type not stated

BANIF 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

    11/28/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020050036-01 TO: Department of Enforcement NASD RE: Banif Securities, Inc., Respondent Member Firm (BD No. 38913) Richard John Kailer, Respondent General Securities Representative, Registered Options Principal, Equity Trader Limited Representative (CRD No. 263192) Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Banif Securities, Inc. ("Banif") and Richard John Kailer ("Kailer") submit this Letter of Acceptance, Waiver and Consent

    Reference E102005003601data-portal.finra.orgfinra.org

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