Nex Systems
Type not stated

CUNA Brokerage Services 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

    11/18/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023080042101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CUNA Brokerage Services, Inc. (Respondent) Member Firm CRD No. 13941 Pursuant to FINRA Rule 9216, Respondent CUNA Brokerage Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2023080042101data-portal.finra.orgfinra.org

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