Nex Systems
Type not stated

CASTLE SECURITIES CORP.

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

    10/11/2005: 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 52580 / October 11, 2005 Admin. Proc. File No. 3-11847 In the Matter of the Application of CASTLE SECURITIES CORP. 45 Church Street Freeport, New York 11520 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Violations of NASD Rules Failure to Transmit Order Reports Inadequate Supervisory Procedures Failure to Accept or

    02/14/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Market Regulation, Complainant, vs. Castle Securities Corp. Freeport, New York, Respondent. Member firm appeals Hearing Panel decision finding that it: (1) failed to submit required information to the Order Audit Trail System ("OATS"); (2) failed to establish supervisory procedures designed to achieve OATS compliance; and (3) failed to comply with Automated Confirmation Transaction Service ("ACT") requirements. Held, findings

    Reference CMS030006data-portal.finra.orgdata-portal.finra.orgfinra.org

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