Nex Systems
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Andrew Grant

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

    01/17/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059749401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Grant, Respondent General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Andrew Grant submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059749401data-portal.finra.orgfinra.org

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