Nex Systems
Type not stated

DESJARDINS SECURITIES INTERNATIONAL INC

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

    03/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112004005401 TO: Department of Enforcement NASD RE: Desjardins Securities International Inc, Respondent BD No. 112417 Pursuant to Rule 9216 of NASD Code of Procedure, Desjardins Securities International Inc ("Desjardins") 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

    Reference E112004005401data-portal.finra.orgfinra.org

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