Nex Systems
Type not stated

FULCRUM 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

    01/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040052601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fulcrum Securities, LLC, Respondent FINRA Member Firm CRD No.140084 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fulcrum Securities, LLC ("Fulcrum" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2014040052601data-portal.finra.orgfinra.org

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