Nex Systems
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Amy M. Greenberg

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043643901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Amy M. Greenberg, Respondent General Securities Representative CRD No. 2110985 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Amy M. Greenberg ("Greenberg" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015043643901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/30/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075674601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amy M. Greenberg (Respondent) Former General Securities Representative CRD No. 2110985 Pursuant to FINRA Rule 9216, Respondent Amy M. Greenberg 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 submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2022075674601data-portal.finra.orgfinra.org

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