Nex Systems
Type not stated

BIRKELBACH INVESTMENT 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

    08/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Birkelbach Investment Securities, Inc. (CRD No. 11490) and Carl Birkelbach, (CRD No. 1177843), Respondents. Disciplinary Proceeding No. 2009016354101 Hearing Officer MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: Aug. 15, 2011 INTRODUCTION Disciplinary Proceeding No. 2009016354101 was filed on about December 20, 2010 and amended on April 27, 2011 (Amended Complaint), by the Department of

    Reference 2009016354101data-portal.finra.orgfinra.org

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