Nex Systems
Type not stated

FISN 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

    08/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090174107-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FISN, Inc., Respondent Broker-Dealer CRD No. 18498 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FISN, Inc. (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 AWC is submitted on the

    Reference 2009017410701finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012866001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FISN, Inc., Respondent (CRD No. 18498) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FISN, Inc. ("FISN") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2008012866001data-portal.finra.orgfinra.org

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