Nex Systems
Type not stated

GLB TRADING 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

    10/04/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Ddpartment of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GLB Trading, Inc., Respondent Broker-Dealer CRD No. 125363 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, GLB Trading, Inc. (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 on the

    Reference 2006005559301data-portal.finra.orgfinra.org

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