Nex Systems
Type not stated

Charles Schwab and Company 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

    02/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES SCHWAB & COMPANY, INC. (CRD No. 5393), Respondent. Disciplinary Proceeding No. 2011029760201 Hearing Officer-LOM HEARING PANEL DECISION GRANTING IN PART AND DENYING IN PART THE PARTIES' CROSS-MOTIONS FOR SUMMARY DISPOSITION February 21, 2013 The first two causes of action in this disciplinary proceeding against Respondent, Charles Schwab & Company, Inc., charge that new provisions in

    Reference 2011029760201data-portal.finra.orgfinra.org

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