Nex Systems
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COMERICA SECURITIES

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

    06/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY iLETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465819-01. TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Comerica Securities, Respondent Broker-Dealer CRD No. 17079 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Comerica Securities (the "Firm" or ''Respondent") submits this Letter of Acceptance, Waiver and. Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015046581901data-portal.finra.orgfinra.org

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