Nex Systems
Type not stated

FOLIOfn Investments Inc.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050006521-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FOLlOfn Investments, Inc., Respondent Broker-Dealer CRD No. 48015 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, FOLIOfn Investments, 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

    Reference 2005000652101finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030456001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FOLIOfn Investments, Inc., Respondent CRD No. 48015 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FOLIOfn Investments, Inc., ("Folio" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2011030456001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037231101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FOLIOfn Investments, Inc., Respondent Member Firm CRD No. 48015 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FOLIOfn Investments, Inc. ("Folio" or the “Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013037231101data-portal.finra.orgfinra.org

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