Nex Systems
Type not stated

ANDERSON & STUDWICK INCORPORATED

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

    04/02/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003775301 TO: Department of Enforcement NASD RE: Anderson & Strudwick, Incorporated Member CRD No. 48 Bradley A. Brown General Securities Principal and Research Analyst CRD No. 3097139 Pursuant to Rule 9216 of the NASD Code of Procedure, Anderson & Strudwick, Incorporated ("ASI") and Bradley A. Brown (''Brown") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2006003775301data-portal.finra.orgfinra.org

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