Nex Systems
Type not stated

FIMCO Securities Group 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

    02/06/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056627402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FIMCO Securities Group, Inc. Member Firm BD No. 30343 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FIMCO Securities Group, Inc. ("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 2017056627402finra.orgdata-portal.finra.org

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