Nex Systems
Type not stated

COMPREHENSIVE ASSET MANAGEMENT AND SERVICING 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

    12/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030675901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Comprehensive Asset Management and Servicing, Inc. (BD No. 43814) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Comprehensive Asset Management and Servicing, Inc. ("CAMS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference 2012030675901data-portal.finra.orgfinra.org

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