Nex Systems
Type not stated

COMERICA SECURITIES INC

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080130555 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Re: Comerica Securities, Inc., ("Comerica" or "Respondent") Member Firm BD No. 17079 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent 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

    Reference 2008013055501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041677101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Comerica Securities, Inc., Respondent CRD No. 17079 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Comerica Securities (''Comerica," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2014041677101finra.orgdata-portal.finra.org

Other names1

Also known as1

COMERICA SECURITIES INC.

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