Nex Systems
Type not stated

DBSI

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

    07/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080128087 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deutsche Bank Securities Inc., ("DBSI") CRD No. 2525 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, DBSI 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

    Reference 2008012808701data-portal.finra.orgfinra.org

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