Nex Systems
Type not stated

BLACKLAKE SECURITIES CORPORATION

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

    03/14/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BLACKLAKE SECURITIES CORPORATION (BD No. 104128), and WESLEY ARTHUR BENNETT, JR. (CRD No. 2254995), Respondents. Disciplinary Proceeding No. E102004005702 Hearing Officer - SNB DEFAULT DECISION March 14, 2007 For failing to comply with the firm's membership agreement, in violation of Rules 1017 and 2110, the individual respondent is barred, and firm respondent is expelled. The individual respondent is also barred for

    Reference E102004005702data-portal.finra.orgfinra.org

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