Nex Systems
Type not stated

FREEDOM INVESTMENTS 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

    01/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004004401 TO: Department of Enforcement NASD RE: Freedom Investments, Inc. BD No. 37674 Pursuant to Rule 9216 of NASD Code of Procedure, Freedom Investments, Inc. ("Freedom") 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,

    Reference E9B2004004401data-portal.finra.orgfinra.org

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