Nex Systems
Type not stated

FORTIS CLEARING AMERICAS LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170161-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fortis Clearing Americas LLC, Respondent Broker-Dealer CRD No. 14020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fortis Clearing Americas LLC (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.

    Reference 2009017016101data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.