Nex Systems
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ING Financial Markets 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

    11/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHOIRTY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044057301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ING Financial Markets LLC, Respondent Broker-Dealer CRD No. 28872 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, ING Financial Markets LLC (the “Firm”, “ING” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the

    Reference 2015044057301finra.orgdata-portal.finra.org

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