Nex Systems
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Amherst Pierpont Securities LLC

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

    01/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037312201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amherst Pierpont Securities LLC, (f.k.a. Amherst Securities Group, L.P.), (Respondent) Member Firm CRD No. 150696 Pursuant to FINRA Rule 9216, Respondent Amherst Pierpont Securities LLC (f.k.a. Amherst Securities Group, L.P.) ("ASG" or 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.

    Reference 2013037312201data-portal.finra.orgfinra.org

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