Nex Systems
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Griffinest Asia 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

    09/17/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062326101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Griffinest Asia Securities LLC, Respondent Member Firm CRD No. 132187 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Griffinest Asia Securities, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019062326101data-portal.finra.orgfinra.org

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