Nex Systems
Type not stated

ING INVESTMENT MANAGEMENT SERVICES 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

    06/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004019901 TO: Department of Enforcement NASD RE: ING Investment Management Services LLC CRD No. 21644 Pursuant to Rule 9216 of NASD Code of Procedure, ING Investment Management Services LLC ("INGIMS") 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 condition that, if accepted, NASD will not bring any future

    Reference E102004019901data-portal.finra.orgfinra.org

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