Nex Systems
Type not stated

FINTECH SECURITIES

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025755701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FinTech Securities, FINRA Member Firm BDNo. 132873 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FinTech Securities ("FinTech" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2011025755701data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.