Nex Systems
Type not stated

CUMBERLAND BROKERAGE CORPORATION

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

    09/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060049781-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cumberland Brokerage Corporation, Respondent Broker-Dealer CRD No. 13409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cumberland Brokerage Corporation (the "firm")

    Reference 2006004978101data-portal.finra.orgfinra.org

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