Nex Systems
Type not stated

EMPIRE EXECUTIONS 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

    08/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027697301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Empire Executions, Inc., Respondent CRD No. 44957 Peter P. Costa, Respondent CRD No. 1299571 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Empire Executions, Inc. ("Empire") and Peter P. Costa ("Costa") (collectively "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2011027697301data-portal.finra.orgfinra.org

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