Nex Systems
Type not stated

COSTA FINANCIAL SECURITIES 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

    06/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DISTRICT FL NO. EFL20050021 TO: Department of Enforcement NASD RE: Costa Financial Securities, Inc., Respondent Broker-Dealer [CRD No. 45039] Respondent General Securities Principal [CRD No. Pursuant to Rule 9216 of the NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent CAWC") 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

    Reference EFL2005002101data-portal.finra.orgfinra.org

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