Nex Systems
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Financial Northeastern Securities 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

    04/04/2025: From January 2022 through June 2024, Financial Northeastern violated FINRA Rules 6730(a) and 2010 by failing to timely report to the Trade Reporting and Compliance Engine (TRACE) approximately 1,000 transactions in TRACE-eligible corporate debt securities. For these violations, Financial Northeastern is censured and fined $60,000.

    Reference 2022074681101data-portal.finra.orgfinra.org

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