Nex Systems
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First Southern Securities LLC

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

    11/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043664501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Southern Securities, LLC, Respondent FINRA Member Firm BD No. 153133 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, First Southern Securities, LLC ("First Southern") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2015043664501data-portal.finra.orgfinra.org

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