Nex Systems
Type not stated

ETC Brokerage Services 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

    12/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160504098-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ETC Brokerage Services, LLC, Respondent Broker/Dealer CRD No. 145276 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, ETC Brokerage Services, LLC ("Respondent" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2016050409801data-portal.finra.orgfinra.org

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