Nex Systems
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Farina and Associates 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

    05/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080126542-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Farina & Associates, Inc., Respondent Broker-Dealer CRD No. 32830 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Farina & Associates, 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

    Reference 2008012654201data-portal.finra.orgfinra.org

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