Nex Systems
Type not stated

FIRST MIDWEST SECURITIES INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020663201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Midwest Securities, Inc., Respondent Member Firm CRD No. 21786 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

    Reference 2009020663201finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050022605-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First Midwest Securities, Inc., Respondent Broker-Dealer CRD No. 21786 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Midwest Securities, Inc. (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2005002260501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016348801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Midwest Securities, Inc. BD No. 21786 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent First Midwest Securities, Inc. ("First Midwest" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2009016348801data-portal.finra.orgfinra.org

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