Nex Systems
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COMMONWEALTH EQUITY SERVICES LLP

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

    11/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080145693-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Commonwealth Equity Services, LLP, Respondent Broker-Dealer CRD No. 8032 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Commonwealth Equity Services, LLP (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations describe

    Reference 2008014569301data-portal.finra.orgfinra.org

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