Nex Systems
Type not stated

FINANTIA USA LTD.

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

    12/08/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060037577-01 TO: Department of Enforcement NASD RE: Finantia USA Ltd., Respondent BD No. 39120 Pursuant to Rule 9216 of NASD Code of Procedure, Finantia USA Ltd. ("Finantia" or "the firm") submits this Letter of Acceptance, Waiver and 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 future actions against

    Reference 2006003757701data-portal.finra.orgfinra.org

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