Nex Systems
Type not stated

INFINEX INVESTMENTS INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041841901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Infinex Investments, Inc. CRD No. 35371 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Infinex Investments, Inc. ("Infinex"or "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2014041841901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO.2011025436101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Infinex Investments, Inc. (BD No. 35371), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Infinex Investments, Inc. ("Respondent," "Infinex," or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2011025436101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016320901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Infinex Investments, Inc., Respondent Member Firm CRD No. 35371 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 submitted on the condition that,

    Reference 2009016320901data-portal.finra.orgfinra.org

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