Nex Systems
Type not stated

EMPIRE INVESTMENTS 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

    01/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100212117 01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Empire Investments Inc. CRD No. 16763 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Empire Investments Inc. ("Empire" 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. This AWC is

    Reference 2010021211701data-portal.finra.orgfinra.org

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