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2 results for “
"Nasdaq Execution Services"
”
Export
EFTA01297822
Set 10
2018-08-17
5p
2,343w
Risk Priority: Critical Alert ID: Entity Information Entity ID: Riskid: R2451848 Entity Name:
Nasdaq
Execution
Services
, LLC Alias: • NES • BRUT. LLC Address: New York, New York, UNITED STATES Recent Event ... Regulatory Action / ACT - Disciplinary. Regulatory Action. 04/01/2014
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Nasdaq
Execution
Services
, LLC submitted a Letter of Acceptance, Waiver and Consent in which the firm was fined 55.000. Without admitting or denying ... proceedings, making findings and imposing sanctions and a cease-and desist order against
NASDAQ
Execution
Services
, LLC, alleging that as of May 18. 2012,
NASDAQ
's rules did not permit
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01297822.pdf
EFTA01299325
Set 10
2018-08-22
1p
179w
Jeffrey Epstein's homes (the UBO to NES, LLC) Alert #1 Alert Subject:
Nasdaq
Execution
Services
, LLC, New York, NY, received SEC violations for not being permitted to engage
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299325.pdf
Corpus: 1990-03-17 – 2025-12-01
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Set 10
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