Nex Systems
Type not stated

CHAPDELAINE & CO.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080151431-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Chapdelaine & Co., Respondent Broker-Dealer CRD No. 7017 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chapdelaine & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2008015143101data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.