Nex Systems
Type not stated

Bruce A. Lefavi Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043353301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Bruce A. Lefavi Securities, Inc., Respondent CRD No. 10684 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Bruce A. Lefavi Securities, Inc. (Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

    Reference 2015043353301data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013034965201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bruce A. Lefavi, Securities, Inc. Respondent CRD No. 10684 Bruce A. Lefavi, Respondent, CRD No. 1064893 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure Bruce A. Lefavi Securities, Inc., ("BLS") and Bruce A. Lefavi ("Lefavi") collectively, "Respondents") submit this Letter

    Reference 2013034965201data-portal.finra.orgfinra.org

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