Nex Systems
Type not stated

FLEET 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

    08/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102003018701 TO: Department of Enforcement NASD RE: Fleet Securities, Inc. ("Fleet Securities") (BD No. 13071) Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Fleet Securities 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

    Reference E102003018701data-portal.finra.orgfinra.org

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