Nex Systems
Type not stated

BASIC INVESTORS 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

    05/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050003265-01 TO: Department of Market Regulation NASD RE: Basic Investors Inc., Respondent Broker/Dealer CRD No. 1187 Pursuant to Rule 9216 of NASD Code of Procedure, Basic Investors Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2005000326501data-portal.finra.orgfinra.org

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