Nex Systems
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Chapdelaine Corporate Securities and Co.

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

    06/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000279-01 TO: Department of Market Regulation NASD RE: Chapdelaine Corporate Securities & Co., Respondent CRD No. 23741 Pursuant to Rule 9216 of the NASD Code of Procedure, Chapdelaine Corporate Securities & Co. ("CHPY"), submits 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.

    Reference 2004200027901data-portal.finra.orgfinra.org

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