Nex Systems
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CONIFER SECURITIES L.L.C.

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

    06/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000063-01 TO: Market Regulation Department NASD RE: Conifer Securities, L.L.C., Respondent CRD No. 23857 Pursuant to Rule 9216 of NASD Code of Procedure, Conifer Securities, L.L.C. ("CNFR" 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

    Reference 2005000006301data-portal.finra.orgfinra.org

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