Nex Systems
Type not stated

CU INVESTMENT SOLUTIONS LLC

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

    09/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201504542639-01 TO: Department of Market Regulation Financial Induslry Regulatory Authority ("FINRA") RE: CU Investment Solutions LLC, Respondent Broker-Dealer CRD No. 43753 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CU Investment Solutions LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015045423901data-portal.finra.orgfinra.org

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