Nex Systems
Type not stated

HUNTER SECURITIES CORP.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050034103-01 TO: Market Regulation Department NASD RE: Hunter Securities Corp., Respondent CRD No. 13134 Pursuant to Rule 9216 of the NASD Code of Procedure, Hunter Securities Corp., ("STLZ" 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

    Reference 2005003410301data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.