Nex Systems
Type not stated

FELDMAN SECURITIES GROUP 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

    09/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT E8A2005007601 TO: Department of Enforcement NASD Re: Feldman Securities Group LLC (CRD No. 39385) Pursuant to Rule 9216 of NASD Code of Procedure, Feldman Securities Group LLC ("Feldman" or "Member") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference E8A2005007601data-portal.finra.orgfinra.org

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