Nex Systems
Type not stated

CONTINENTAL INVESTORS 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

    08/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018104501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Continental Investors Services, Inc., Respondent Broker-Dealer CRD No. 29775 Pursuant to FINRA Rule 9216 of FINRA'S' Code of Procedure, Continental Investors Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for

    Reference 2009018104501finra.orgdata-portal.finra.org

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