Nex Systems
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DELANO GROUP SECURITIES L.L.C.

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

    04/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050026 TO: Department of Enforcement NASD RE: Delano Group Securities, L.L.C. (CRD No. 47619) Pursuant to Rule 9216 of NASD Code of Procedure, Delano Group Securities, L.L.C. ("Member") 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 submitted on the condition that, if accepted, NASD will not bring any future actions against

    Reference C8A050026finra.orgdata-portal.finra.org

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