Nex Systems
Type not stated

CND FINANCIAL LTD.

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

    11/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030722201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: CND Financial, Ltd. CRD No. 132864 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CND Financial, Ltd. ("CND Financial" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC”) for the purpose of proposing

    Reference 2012030722201data-portal.finra.orgfinra.org

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