Nex Systems
Type not stated

Energy Securities Inc.

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States

    sec.govsec.gov

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050014461 To: Department of Enforcement NASD Re: Energy Securities, Inc. Broker Dealer (CRD No. 101220) and Lawrence R. Buettner Direct Participation Programs Principal (CRD No. 2535892) Pursuant to Rule 9216 of NASD Code of Procedure, Energy Securities, Inc. ("Respondent Member") and Lawrence R. Buettner ("Respondent Representative"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2005001446101data-portal.finra.orgfinra.org

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