Nex Systems
Type not stated

BNY MELLON SECURITIES LLC

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

    12/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100213120-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MBSC Securities Corporation ("MBSC") (BD No. 231); BNY Mellon Capital Markets LLC (BD No. 17454); and BNY Mellon Securities LLC ("BNYMS") (BD No; 47268) Respondents Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, MBSC, BNY Mellon Capital Markets and BNYMS (collectively, the "Respondents") submit this Letter of

    Reference 2010021312001data-portal.finra.orgfinra.org

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