Nex Systems
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HUDSON SECURITIES INC

Regulator action

United States. Named in 4 sanctions listings.

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Sanctions and listings4

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060061604-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hudson Securities, Inc., Respondent Broker/Dealer CRD No. 10467 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Hudson Securities, Inc. ("the firm") 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

    Reference 2006006160401finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000085-01 TO: Department of Market Regulation NASD RE: WIEN Securities, Inc. (succeeded by Hudson Securities, Inc.), Respondent Broker-Dealer CRD No. 10467 Pursuant to Rule 9216 of NASD Code of Procedure, WIEN Securities, Inc. (succeeded by Hudson Securities, Inc.), ("WIEN" 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

    Reference 2004200008501finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008732901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hudson Securities, Inc. BD No. 10467 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Hudson Securities, Inc. ("Hudson" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2007008732901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070104517-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hudson Securities, Inc. Respondent Broker/Dealer CRD No. 10467 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Hudson Securities, Inc. ("the firm") 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

    Reference 2007010451702data-portal.finra.orgfinra.org

Other names1

Also known as1

HUDSON SECURITIES INC.

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