CHASE INVESTMENT SERVICES CORPORATION

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050023 TO: Department of Enforcement NASD RE: Chase Investment Services Corporation, Respondent Member Firm BD No. 25574 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Chase Investment Services Corporation ("CISC" or 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
Reference C02050023data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220040352-01 TO: Department of Enforcement NASD RE: Chase Investment Services Corporation, Respondent Member Firm BD No. 25574 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Chase Investment Services Corporation ("CISC" or 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
Reference E022004035201data-portal.finra.org finra.org

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