Nex Systems
Type not stated

BROCK 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

    04/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150433988-01 TO: Department ofEnforcement Financial Industry Regulatory Authority (*'Fn?IRA") RE: Brock Securities LLC, Respondent BD No. 122156 Pursuant to FINRA Rule 9216 of FINRA's Code ofProcedure, the Respondent, Brock Securities LLC (?Brock Securities" or thc "Firm"), submits this Letter ofAcceptance, Waiver and Consent ("AWCD for thc purpose ofproposing a settlement ofthe alleged rule violations describ

    Reference 2015043398801data-portal.finra.orgfinra.org

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