Nex Systems
Type not stated

EASTLAKE 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

    08/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ##E1020040133-01 TO: Department of Enforcement NASD RE: Eastlake Securities, Inc. (BD No. 15781) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Eastlake Securities, Inc. ("Eastlake" or "Respondent"), 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 not bring any

    Reference E102004013301data-portal.finra.orgfinra.org

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