Nex Systems
Type not stated

FINANCIAL AMERICA SECURITIES INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050026999-01 TO: Department of Market Regulation NASD RE: Financial America Securities, Inc., Respondent Broker/Dealer CRD Number 5100 Pursuant to Rule 9216 of NASD Code of Procedure, Financial America Securities, Inc. ("FASI" or "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

    Reference 2005002699901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025846903 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Financial America Securities, Inc., Respondent FINRA-Registered Firm CRD No. 5100 John C. Rukenbrod, Respondent Registered Principal CRD No. 407114 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Financial America Securities, Inc. (the "Firm" or "Financial America") and John C. Rukenbrod ("Rukenbrod" and

    Reference 2011025846903data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042711601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Financial America Securities, Inc., Respondent Member Firm CRD No. 5100 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Financial America Securities, lnc. ("FAS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014042711601finra.orgdata-portal.finra.org

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