Nex Systems
Type not stated

DYNAMEX TRADING 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

    03/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 2005002170203 TO: Department of Market Regulation NASD RE: Dynamex Trading, LLC, Respondent Broker/Dealer CRD Number 127434 Pursuant to Rule 9216 of NASD Code of Procedure, Dynamex Trading, LLC ("MEXD") 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

    Reference 2005002170203finra.orgdata-portal.finra.org

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