Nex Systems
Type not stated

CALYON SECURITIES INC.

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

    01/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019242701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Calyon Securities Inc., now known as Credit Agricole Securities (USA) Inc., Respondent Member Firm BD No. 190 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 described

    Reference 2009019242701data-portal.finra.orgfinra.org

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