Nex Systems
Type not stated

BROOKSHIRE SECURITIES CORPORATION

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

    03/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CFL050001 TO: Department of Enforcement NASD RE: Brookshire Securities Corporation CRD No. 44347 Pursuant to Rule 9216 of NASD Code of Procedure, Brookshire Securities Corporation ("Brookshire" or "Respondent") 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 AWC is submitted on the condition that, if accepted, NASD will not bring any

    Reference CFL050001data-portal.finra.orgfinra.org

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