Nex Systems
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ALICE J. SOLOMON

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

    04/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11050014 TO: Department of Enforcement NASD RE: Greenwich Global, LLC, Respondent BD No. 37304 Timothy J. Daly, Respondent CRD No. 1460203 Alice J. Solomon, Respondent CRD No. 1789872 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted,

    Reference C11050014data-portal.finra.orgfinra.org

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