Nex Systems
Type not stated

DIRECT ACCESS BROKERAGE SERVICES INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO E8A2004013003 To: Department of Enforcement NASD Re: Direct Access Brokerage Services, Inc. Broker-Dealer CRD No. 30057 Pursuant to Rule 9216 of NASD Code of Procedure, Direct Access Brokerage Services, Inc. ("Respondent") 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

    Reference E8A2004013003data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20070099252-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Access Brokerage Services, Inc., Respondent Broker-Dealer CRD No. 30057 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Direct Access Brokerage Services, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2007009925201finra.orgdata-portal.finra.org

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