Nex Systems
Type not stated

DUBLIND SECURITIES 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

    08/14/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006666501 TO: Department of Enforcement NASD RE: Dublind Securities, Inc., Respondent Broker-Dealer BD Na-32534 Nestor J, Olivier, Respondent Financial and Operations Principal (Series 27) CRD No, 714206 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006006666501finra.orgdata-portal.finra.org

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