Nex Systems
Type not stated

FIRST CHICAGO ADVISORS 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

    02/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030532101 TO: Department of Enforcement Financial Indusrry Regulaton Authority ("FINRA") RE: First Chicago Advisors, Inc. Member CRD No. 143137 Steven E. Knoop Registered Representative CRD No. 1453557 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2012030532101data-portal.finra.orgfinra.org

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