Nex Systems
Type not stated

FIRST ASSET FINANCIAL 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

    05/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030785501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Asset Financial, Inc. Respondent CRD No. 139107 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Asset Financial, Inc. ("FAF") 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

    Reference 2012030785501data-portal.finra.orgfinra.org

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