Nex Systems
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BUTLER MUNI 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

    05/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007537201 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Butler Muni, LLC, Respondent Broker-Dealer Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Butler Muni, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2006007537201finra.orgdata-portal.finra.org

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