Nex Systems
Type not stated

CUSO Financial Services L.P.

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

    01/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039239102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CUSO Financial Services, L.P., Respondent Member Firm CRD No. 42132 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CUSO Financial Seivices, L.P. (the "Firm" or "CUSO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013039239102data-portal.finra.orgfinra.org

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