Nex Systems
Type not stated

DUNDEE SECURITIES INC.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043279401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dundee Securities, Inc., Respondent Member Firm CRD No. 39759 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dundee Securities, Inc. ("Dundee" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2015043279401data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.