Nex Systems
Type not stated

CSSU

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

    03/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040431101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Credit Suisse Securities (USA) LLC (“Respondent,” “CSSU” or the “Firm”), Respondent CRD No. 816 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014040431101data-portal.finra.orgfinra.org

Other names1

Also known as1

Firm

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