Nex Systems
Type not stated

FTP Securities LLC

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

    03/12/2025: From September 2020 through June 2022, FTP Securities failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with applicable FINRA rules for reviewing and evaluating outside business activities. During this period, the firm received written notice that a registered person was engaging in investment-related outside business activities but failed to reasonably review and evaluate them. As a result, FTP Securities violated FINRA Rules 3110, 3270.01, and 2010, and is censured and fined $35,000.

    Reference 2022076764101data-portal.finra.orgfinra.org

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