Nex Systems
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CHARLES SCHWAB AND COMPANY

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

    05/15/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060040583-01 TO: Market Regulation Department NASD RE: Charles Schwab and Company, Respondent CRD No. 5393 Pursuant to Rule 9216 of the NASD Code of Procedure, Charles Schwab and Company (the "firm"), 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. This AWC is submitted on the condition that, if accepted, NASD

    Reference 2006004058301finra.orgdata-portal.finra.org

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