Nex Systems
Type not stated

COMPUTER CLEARING SERVICES 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

    03/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050035 TO: Market Regulation Department NASD RE: Computer Clearing Services, Inc., Respondent Broker-Dealer CRD No. 20776 Pursuant to Rule 9216 of the NASD Code of Procedure, Computer Clearing Services, Inc. ("CCLS" or the "firm") 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 CLG050035finra.orgdata-portal.finra.org

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