Nex Systems
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BNP PARIBAS BROKERAGE SERVICES 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

    03/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050033 TO: Department or Market Regulation NASD RE: BNP Paribas Brokerage Services, Inc., Respondent Broker-Dealer CRD No. 31394 Pursuant to Rule 9216 of the NASD Code of Procedure, BNP Paribas Brokerage Services, Inc. ("BNPS" 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 in Part II below. This AWC is submitted on the condition

    Reference CLG050033finra.orgdata-portal.finra.org

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