Nex Systems
Type not stated

CHAPMAN SECURITIES INC.

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

    06/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04050021 To: Department of Enforcement NASD Re: Chapman Securities, Inc. Member (CRD No. 25688) and Michael David Relihan General Securities Principal, Municipal Securities Principal and Options Principal (CRD No. 501990) Pursuant to NASD Procedural Rule 9216, Chapman Securities, Inc. (Chapman) and Michael David Relihan (Relihan) (collectively referred to as Respondents) submit this Letter of Acceptance (AWC) for the purpose of proposing a settlement of the

    Reference C04050021data-portal.finra.orgfinra.org

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