Nex Systems
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BNY CONVERGEX EXECUTION SOLUTIONS LLC

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060073219-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Convergex Execution Solutions LLC Broker-Dealer CRD 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Convergex Execution Solutions LLC, CRD 35693 (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2006007321901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070092787-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY ConvergEx Execution Solutions LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY ConvergEx Execution Solutions LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2007009278701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002074-01 TO: Department of Market Regulation NASD RE: BNY Convergex Execution Solutions LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to Rule 9216 of the NASD Code of Procedure, BNY Convergex Execution Solutions LLC (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

    Reference 2005000207401data-portal.finra.orgfinra.org

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