Nex Systems
Type not stated

Colorado Financial Services Corporation

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

    09/16/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066831101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colorado Financial Service Corporation (Respondent) Member Firm CRD No. 104343 Pursuant to FINRA Rule 9216, Respondent Colorado Financial Service Corporation 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 submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2020066831101finra.orgdata-portal.finra.org

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