Nex Systems
Type not stated

Broker Dealer Financial Services Corp.

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

    05/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2012030436501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Broker Dealer Financial Services Corp. (''BDFS"), Respondent CRD No. 8073 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BDFS submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012030436501data-portal.finra.orgfinra.org

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