Nex Systems
Type not stated

CENTERA FINANCIAL SPECIALIST 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

    05/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037346101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cetera Financial Specialists LLC, Respondent Broker-Dealer CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cetera Financial Specialists LLC (''Cetera" or the ''Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

    Reference 2013037346101data-portal.finra.orgfinra.org

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