Nex Systems
Type not stated

ITAU SECURITIES INC.

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

    05/29/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20050032150-01 TO: Department of Market Regulation NASD RE: Itau Securities Inc., Respondent Broker-Dealer CRD No. 118817 Pursuant to Rule 9216 of NASD Code of Procedure, Itau Securities Inc., (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 condition that, if accepted, NASD will not bring any future

    Reference 2005003215001data-portal.finra.orgfinra.org

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