Nex Systems
Type not stated

DAIWA SECURITIES AMERICA INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 20080135453-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Daiwa Securities America Inc. Broker-Dealer CRD No, 1576 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Daiwa Securities America Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2008013545301data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070089168-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Daiwa Securities America Inc., Respondent Broker-Dealer CRD No. 1576 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Daiwa Securities America Inc. (the "firm") submits this Letter of Acceptance, Wajver and Consent ("AWC") for the purpose

    Reference 2007008916801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000237-01 TO: Department of Market Regulation NASD RE: Daiwa Securities America Inc. Broker-Dealer CRD No. 1576 Pursuant to Rule 9216 of NASD Code of Procedure, Daiwa Securities America Inc. (the "firm" or "DAWA") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is

    Reference 2004100023701data-portal.finra.orgfinra.org

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