Nex Systems
Type not stated

Commerce Brokerage Services 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

    12/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039170501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commerce Brokerage Services, Inc., Respondent FINRA Member Firm CRD No. 17140 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Commerce Brokerage Services, Inc. submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of

    Reference 2014039170501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/06/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077782601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Commerce Brokerage Services, Inc. (Respondent) Member Firm CRD No. 17140 Pursuant to FINRA Rule 9216, Respondent Commerce Brokerage Services, Inc. (“Commerce Brokerage”) 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 2023077782601finra.orgdata-portal.finra.org

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