Nex Systems
Type not stated

FIRST CITIZENS FINANCIAL PLUS 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

    05/08/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003762801 TO: Department of Enforcement NASD RE: First Citizens Financial Plus, Inc. Member Finn CRD No. 18591 James Thomas Hopper General Securities Principal CRD No. 2181853 Pursuant to Rule 9216 of the National Association of Securities Dealers, Inc. ("NASD") Code of Procedure, First Citizens Financial Plus, Inc., and James Thomas Hopper, ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2006003762801data-portal.finra.orgfinra.org

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