Nex Systems
Type not stated

GREAT AMERICAN ADVISORS INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019513903 (“FINRA”) TO: Department of Enforcement RE: Great American Advisors, Inc. (“Great American” or the “Firm”), Respondent Firm CRD No. 36451 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (“AWC”)

    Reference 2009019513903data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090198393-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Great American Advisors, Inc., Respondent Broker-Dealer CRD No. 36451 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Great American Advisors, Inc. ("AGSS" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009019839301data-portal.finra.orgfinra.org

Other names1

Also known as1

THE FIRM ADVISORS INC.

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