Nex Systems
Type not stated

FIRST MONTAUK 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

    10/15/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002133004 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Montauk Securities Corporation, Respondent CRD No. 13755 Pursuant to Rule 9216 of FINRA Code of Procedure, First Montauk Securities Corporation ("FMSC or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2005002133004data-portal.finra.orgfinra.org

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