CITIZENS INVESTMENT SERVICES CORP.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/16/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112005014002 TO: Department of Enforcement NASD RE: CCO Investment Services Corp. f/k/a Citizens Investment Services Corp. BD No. 39550 Pursuant to Rule 9216 of NASD Code of Procedure, we 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 that, if accepted, NASD will not bring any future actions against us
Reference E112005014002data-portal.finra.orgfinra.org
Other names1
Also known as1
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