Nex Systems
Type not stated

CURIAN CLEARING 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

    03/15/2017: FTNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046154001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Curian Clearing, LLC, Respondent CRD No. 132938 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Curian Clearing, LLC ("Curian," or the ''Firm") 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

    Reference 2015046154001data-portal.finra.orgfinra.org

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