Nex Systems
Type not stated

CSSC Brokerage Services Inc.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/04/2017: FINANCIAL INDUSTRY REGUIATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. CSSC Brokerage Services, Inc. (CRD No. 141630) and Eric S. Smith, Respondents. DISCIPLINARY PROCEEDING No. 2015043646501 COMPLAINT The Department ofEnforcement alleges: SUMMARY 1. In 2015, Respondents CSSC Brokerage Services, Inc. ("CSSC") and Eric Smith defrauded investors by offering and selling securities through a "bridge loan" offering designed to keep their floundering parent

    01/02/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. CSSC BROKERAGE SERVICES, INC. (CRD No. 141630), and ERIC S. SMITH, Respondents. Disciplinary Proceeding No. 2015043646501 Hearing Officer-MC EXTENDED HEARING PANEL DECISION January 2, 2019 Respondents Eric S. Smith and CSSC Brokerage Services, Inc., knowingly made misrepresentations and omissions of material facts in connection with the sales of securities, in willful

    Reference 2015043646501data-portal.finra.orgfinra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.