Nex Systems
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Elkhorn Securities 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

    12/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052032501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Elkhorn Securities, LLC CRD No. 168905 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Elkhorn Securities, LLC (“Elkhorn” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2016052032501finra.orgdata-portal.finra.org

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