Nex Systems
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Huntleigh Securities Corporation

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043587602 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Huntleigh Securities Corporation, Respondent CRD No. 7456 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Huntleigh Securities Corporation 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

    Reference 2015043587602data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035278601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Huntleigh Securities Corporation, Respondent FINRA Member Firm CRD No. 7456 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Huntleigh Securities Corporation ("Huntleigh") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013035278601data-portal.finra.orgfinra.org

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