Nex Systems
Type not stated

EDI FINANCIAL INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016266601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: EDI Financial, Inc., Respondent Member CRD No. 15699 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent EDI Financial, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2009016266601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032643701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: EDI Financial, Inc., Respondent CRD No. 15699 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent EDI Financial, Inc. ("EDI" 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 below.

    Reference 2012032643701data-portal.finra.orgfinra.org

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