Nex Systems
Type not stated

CION Securities L.L.C.

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

    08/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400063-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CION Securities, L.L.C. Respondent BD No. 15487 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, CION Securities, LLC ("CION" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014040006301data-portal.finra.orgfinra.org

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