Nex Systems
Type not stated

FTB Advisors Inc.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043292101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FTB Advisors, Inc., Respondent Member Firm CRD No. 17117 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FTB Advisors, Inc. ("FTB", "Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2015043292101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042543201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FTB Advisors, Inc., Respondent CRD No. 17117 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FTB Advisors, Inc. ("FTB" or 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 is submitted

    Reference 2014042543201data-portal.finra.orgfinra.org

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