Nex Systems
Type not stated

FIELDSTONE SERVICES

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

    11/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 2006003754901 TO: Department of Enforcement NASD RE: Fieldstone Services, Corp. (BD No. 27851) ("Fieldstone") Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Fieldstone Services, Corp. (BD No. 27851) ("Respondent" or "Fieldstone") 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 that, if

    Reference 2006003754901data-portal.finra.orgfinra.org

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