Nex Systems
Type not stated

Commonwealth Australia Securities LLC

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

    03/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120304115-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Australia Securities LLC, Respondent ("Commonwealth" or the "Firm") BD No. 136321 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Commonwealth 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

    Reference 2012030411501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/09/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022077355301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Commonwealth Australia Securities LLC (Respondent) Member Firm CRD No. 136321 Pursuant to FINRA Rule 9216, Respondent Commonwealth Australia Securities LLC 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 2022077355301data-portal.finra.orgfinra.org

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