Nex Systems
Type not stated

FINANCIAL WEST INVESTMENT 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

    08/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181037-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Financial West Investment Group, Inc., Respondent Broker-Dealer CRD No. 16668 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Financial West Investment Group, Inc. ("FINW" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2009018103701data-portal.finra.orgfinra.org

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