Nex Systems
Type not stated

GETCO EXECUTION SERVICES 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

    06/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316471-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Getco Execution Services LLC, Respondent Broker-Dealer CRD No, 145021 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Getco Execution Services LLC (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.

    Reference 2012031647101finra.orgdata-portal.finra.org

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