Nex Systems
Type not stated

FISERV SECURITIES 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

    11/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000103-01 TO: Department of Market Regulation NASD RE: Fiserv Securities, Inc., Respondent Broker-Dealer CRD No. 14285 Pursuant to Rule 9216 of NASD Code of Procedure, Fiserv Securities, Inc. ("BHCS") 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

    Reference 2004200010301data-portal.finra.orgfinra.org

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