Nex Systems
Type not stated

FIRST SECURITIES USA INC.

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

    01/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220030046-02 TO: Department of Enforcement NASD RE: First Securities USA, Inc., Respondent Member Firm CRD No. 39986 Stanley C. Brooks, Respondent General Securities Principal CRD No. 31684 Pursuant to Rule 9216 of NASD Code of Procedure, Stanley C. Brooks ("Brooks") and First Securities USA, Inc. ("FSU"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part

    Reference E022003004602data-portal.finra.orgfinra.org

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