Nex Systems
Type not stated

A. GARY SHILLING & CO. INC.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/20/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B050036 TO: Department of Enforcement NASD RE: A. Gary Shilling & Co., Inc. BD No. 7666 Albert Gary Shilling CRD No. 422125 Pursuant to Rule 9216 of the NASD Code of Procedure, A. Gary Shilling & Co., Inc. ("Shilling & Co.") and Albert Gary Shilling ("Shilling") (collectively referred to as "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part

    Reference C9B050036data-portal.finra.orgfinra.org

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