Nex Systems
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DAI Securities 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

    04/10/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060895201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: DAI Securities, LLC, formerly known as Lewis Financial Group, L.C. (Respondent) Member Firm CRD No. 36673 Pursuant to FINRA Rule 9216, Respondent DAI Securities, LLC, 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 2018060895201data-portal.finra.orgfinra.org

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