Nex Systems
Type not stated

COMPUTERSHARE SECURITIES CORPORATION

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

    02/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005005301 TO; Department of Enforcement NASD RE: Computershare Securities Corporation (CRD No. 107023) Pursuant to Rule 9216 of NASD Code of Procedure, Computershare Securities Corporation (''Member") 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

    Reference E8A2005005301data-portal.finra.orgfinra.org

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