Nex Systems
Type not stated

ANCORA SECURITIES 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

    03/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20080139987-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ancora Securities, Inc., Respondent Broker-Dealer CRD No. 16076 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ancora Securities, 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.

    Reference 2008013998701data-portal.finra.orgfinra.org

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