Nex Systems
Type not stated

SIG SECURITIES L.L.C..

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007167101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: SIG Securities, L.L.C. (A.K.A. Summitalliance Securities, L.L.C.), Respondent Broker Dealer CRD No. 45915 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, SIG Securities, L.L.C. ("SIG" or "Respondent'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2007007167101data-portal.finra.orgfinra.org

Other names1

Also known as1

SUMITALLIANCE SECURITIES L.L.C.

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.