Nex Systems
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FIMAT USA 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

    01/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050006366-01 TO: Department of Market Regulation NASD RE: Fimat USA, LLC, Respondent Broker/Dealer CRD Number 36118 Pursuant to Rule 9216 of NASD Code of Procedure, Fimat USA, LLC ("FMAT") submits this Letter of Acceptance, Waiver end 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 accepted, NASD will not bring any

    Reference 2005000636601finra.orgdata-portal.finra.org

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