Nex Systems
Type not stated

Exane 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

    06/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044347801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Exane, Inc., Respondent Member Firm CRD No. 41784 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Exane, Inc. (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 submitted on the

    Reference 2015044347801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130394497-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Exane, Inc., Respondent Broker-Dealer CRD No. 41784 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Exane, Inc. ("Exane", the "firm," 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 2013039449701data-portal.finra.orgfinra.org

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