Nex Systems
Type not stated

HAPOALIM SECURITIES USA 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

    09/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.*** 20060051748-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hapoalim Securities USA, Inc., Respondent Broker-Dealer CRD No. 266 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent Hapoalim Securities USA, Inc. ("ERNS" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006005174801data-portal.finra.orgfinra.org

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