Nex Systems
Type not stated

FIG PARTNERS LLC

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20060067277-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fig Partners, LLC, Respondent Broker-Dealer CRD No. 41554 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent Fig Partners, LLC ("BNKS" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2006006727701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100216509-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FIG Partners, LLC, Respondent Broker-Dealer CRD No. 41554 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FIG Partners, LLC ("BNKS" or 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

    Reference 2010021650901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20150474990-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FIG Partners, LLC, Respondent Broker-Dealer CRD No. 41554 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FIG Partners, LLC (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

    Reference 2015047499001data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.