Nex Systems
Type not stated

FIRST MONATAUK 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

    12/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001028302 TO: Department of Enforcement NASD RE: First Montauk Securities Corporation (CRD No. 13755) Pursuant to Rule 9216 of NASD Code of Procedure, First Montauk Securities Corporation ("Member") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference 2005001028302finra.orgdata-portal.finra.org

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