Nex Systems
Type not stated

HAPOALIM SECURITIES

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

    05/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130378568-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hapoalim Securities USA, Inc., Respondent Registered Broker-Dealer CRD No. 266 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Respondent 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

    Reference 2013037856801data-portal.finra.orgfinra.org

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