Nex Systems
Type not stated

First American Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAVIER AND CONSENT NO. 2013035064901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First American Securities, Inc., Respondent FINRA Memer Firm CRD No. 35841 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedures, First American Securities, Inc., ("First American") submits this Letter of Acceptance, Waiver and Consent ('AWC") for the purpose of proposing a settlement

    Reference 2013035064901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046056405 TO: Department of Enforcernent Financial Industry Regulatory Authority ("FINRA") RE: First American Securities, Inc., Respondent (CRD No. 35841) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 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 on the

    Reference 2015046056405data-portal.finra.orgfinra.org

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