Nex Systems
Type not stated

CFT 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

    01/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090207881-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CFT Securities, LLC, Respondent Broker-Dealer CRD No. 46226 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CFT Securities, LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2009020788101data-portal.finra.orgfinra.org

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