Nex Systems
Type not stated

FIRST WINSTON SECURITIES INC.

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

    02/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039275601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Winston Securities, Inc., Respondent CRD No. 21538 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Winston Securities, Inc. ("First Winston" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014039275601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/26/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072004010901 TO: Department of Enforcement NASD RE: First Winston Securities, Inc., Respondent Member [CRD No. 21538] Pursuant to Rule 9216 of NASD Code of Procedure, Respondent 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 me alleging

    Reference E072004010901data-portal.finra.orgfinra.org

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