Nex Systems
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BEAR

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

    02/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20041000025-01 TO: Department of Market Regulation NASD RE: Bear, Stearns Securities Corporation, Respondent Broker-Dealer CRD No. 28432 Pursuant to Rule 9216 of NASD Code of Procedure, Bear, Stearns Securities Corporation ("BSSC" 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

    Reference 2004100002501data-portal.finra.orgfinra.org

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