Nex Systems
Type not stated

BULLTICK 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

    12/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009015969501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bulltick Securities, LLC, Respondent Member Firm BD No. 132092 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009015969501data-portal.finra.orgfinra.org

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