Nex Systems
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Andrew Garrett Inc.

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

    06/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020050019-01 TO: Department of Enforcement NASD RE: Andrew Garrett, Inc. (BD No. 29931) and Pursuant to Rule 9216 of NASD Code of Procedure, Andrew Garrett, Inc. ("AGI" or the "Firm") and collectively, "Respondents") 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, NASD will not

    Reference E102005001901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/29/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043325601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Andrew Garrett Inc., Respondent CRD No. 29931 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andrew Garrett Inc. ("Andrew Garrett" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2015043325601data-portal.finra.orgfinra.org

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