Nex Systems
Type not stated

BRINKER CAPITAL 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

    06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050024 TO: Department of Enforcement NASD RE: Brinker Capital Securities, Inc., Respondent CRD No. 38123 Pursuant to Rule 9216 of the NASD Code of Procedure, Brinker Capital Securities, Inc., 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.

    Reference C9A050024data-portal.finra.orgfinra.org

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