Nex Systems
Type not stated

ABG SUNDAL COLLIER 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

    03/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296896-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ABG Sundal Collier Inc., Respondent Broker-Dealer CRD No. 30605 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ABG Sundal Collier Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2011029689601data-portal.finra.orgfinra.org

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