Nex Systems
Type not stated

FIRST MONTAUK SECURITIES CORP.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/31/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003821801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Montauk Securities Corp., Respondent Member Firm BD No. 13755 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, First Montauk Securities Corp., ("First Montauk" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2006003821801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/24/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2005005003 TO: Department of Enforcement NASD RE: First Montauk Securities Corp. BD No. 13755 Pursuant to Rule 9216 of NASD Code of Procedure, First Montauk Securities Corp. ("First Montauk") 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 that, if accepted, NASD will not bring any future actions against

    Reference E9B2005005003data-portal.finra.orgfinra.org

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