Nex Systems
Type not stated

CITIZENS SECURITIES INC.

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/23/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047706701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citizens Securities, Inc., Respondent CRD No. 39550 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citizens Securities, Inc. ("CSI" 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 below. This AWC is

    Reference 2016047706701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049977401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Citizens Securities, Inc., Respondent CRD No. 39550 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Citizens Securities, Inc. ("Citizens" 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 below. This AWC is

    Reference 2016049977401finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.