Nex Systems
Type not stated

GLOBAL BROKERAGE SERVICES 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

    09/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035123201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Global Brokerage Services, Inc. (BD No. 37505), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Global Brokerage Services, Inc. (the “Firm,'' “Global,” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged

    Reference 2013035123201data-portal.finra.orgfinra.org

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