Nex Systems
Type not stated

FORTUNE 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

    12/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029405901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortune Securities, Inc., Respondent CRD No. 40821 Yinyi Chen CRD No. 2086259 General Securities Principal General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fortune Securities, Inc., and Yinyi Chen (hereinafter "Respondents") submit this Letter of Acceptance, Waiver and Consent for the

    Reference 2011029405901data-portal.finra.orgfinra.org

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