Nex Systems
Type not stated

FIRST LONDON SECURITIES CORPORATION

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

    07/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011589801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First London Securities Corporation CRD No. 29709 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First London Securities Corporation ("First London," "the Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2008011589801data-portal.finra.orgfinra.org

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