Nex Systems
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HOLD BROTHERS ON-LINE INVESTMENTS SERVICES 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

    07/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050003130-01 TO: Department of Market Regulation NASD RE: Hold Brothers On-Line Investment Services, LLC, Respondent CRD# 36816 Pursuant to Rule 9216 of NASD Code of Procedure, Hold Brothers On-Line Investment Services, LLC ("ONLI" 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 2005000313001data-portal.finra.orgfinra.org

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