Nex Systems
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CREDIT LYONNAIS 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

    11/14/2005: NASD 1 LETTER OF ACCEPTANCE, W?A?YER AND CONSENT 20050000028-Oi TO: Market Regulation Department NASD RE: Credit: Lyonnais Securities (USA), Inc. (?LYON"), Respondent Broker-Dealer CRD No. 190 Pursuant to Rule 9216 ofNASD Code ofProcedure, Credit Lyonnais Securities (USA), Inc. (?LYON' ') submits this Letter of Acceptance, Waiver and Consent C'AWC'? for the purpose ofproposing a settlement ofthe alleged rule violations described in Part II below. This AWC is submitted on the condition that, if a

    11/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000028-01 TO: Market Regulation Department NASD RE: Credit: Lyonnais Securities (USA), Inc. ("LYON"), Respondent Broker-Dealer CRD No. 190 Pursuant to Rule 9216 of NASD Code of Procedure, Credit Lyonnais Securities (USA), Inc. ("LYON") 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

    Reference 2005000002801data-portal.finra.orgdata-portal.finra.orgfinra.org

Other names2

Also known as2

CREDIT LYONNAIS SECURITIES LYON INC.CREDIT LYONNAIS SECURITIES USA INC.

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