Nex Systems
Type not stated

COMMERCE ONE FINANCIAL INC.

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

    07/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI2005000401 TO: Department of Enforcement NASD RE: Commerce One Financial Inc. BD No. 100340 900 Ellison Avenue Suite 116 Westbury, New York 11590 Pursuant to Rule 9216 of NASD Code of Procedure, Commerce One Financial Inc. ("Commerce One") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted

    Reference ELI2005000401data-portal.finra.orgfinra.org

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