Nex Systems
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CASTLEWOOD 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

    08/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. SAF2004040701 TO: Department of Enforcement NASD RE: Castlewood Securities, LLC, Respondent CRD No. 45179 Fred O. Goldman, Respondent CRD No. 1857380 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Castlewood Securities, LLC and Fred O. Goldman submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference SAF2004040701finra.orgdata-portal.finra.org

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