Nex Systems
Type not stated

fka Futu 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

    11/26/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072581701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Moomoo Financial Inc., formerly known as Futu Inc. (Respondent) Member Firm CRD No. 283078 Pursuant to FINRA Rule 9216, Respondent Moomoo Financial Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021072581701finra.orgdata-portal.finra.org

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