Nex Systems
Type not stated

GOLDEN BENEFICIAL SECURITIES CORPORATION

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

    07/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050105 TO: Market Regulation Department NASD RE: Golden Beneficial Securities Corporation, Respondent Broker-Dealer CRD No. 48029 Pursuant to Rule 9216 of the NASD Code of Procedure, Golden Beneficial Securities Corporation ("GBSC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

    Reference CLG050105data-portal.finra.orgfinra.org

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