Nex Systems
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NATCITY 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

    03/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146210 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: NatCity Investments, Inc., Respondent Member Firm BD No. 17490 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, if

    Reference 2008014621001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT E8A2005014402 TO: Department of Enforcement NASD Re: NatCity Investments, Inc. (CRD No. 17490) Pursuant to Rule 9216 of NASD Code of Procedure, NatCity Investments, Inc. ("NatCity or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in

    Reference E8A2005014402data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2003084601 TO: Department of Enforcement NASD RE: NatCity Investments, Inc. CRD No. 17490 Pursuant to Rule 9216 of NASD Code of Procedure, NatCity Investments, Inc. (NatCity or 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 actions against

    Reference E8A2003084601data-portal.finra.orgfinra.org

Other names1

Also known as1

NATCITY INVESTMENTS INC.

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