Nex Systems
Type not stated

DOUGLAS FINANCIAL LLC

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

    10/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070072528-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Douglas Financial LLC, Respondent BD. No. 119302 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure Douglas Financial LLC ("Douglas Financial" or "Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2007007252801data-portal.finra.orgfinra.org

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