Nex Systems
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DRESDNER KLEINWORT WASSERSTEIN SECURITIES 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

    08/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050009836-01 TO: Market Regulation Department NASD RE: Dresdner Kleinwort Wasserstein Securities LLC, Respondent CRD No. 41957 Pursuant to NASD Rule 9216, Dresdner Kleinwort Wasserstein Securities LLC (the "firm"), 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.

    Reference 2005000983601data-portal.finra.orgfinra.org

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