Nex Systems
Type not stated

Andrew J. 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

    03/29/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068113401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew J. Grant (Respondent) General Securities Representative CRD No. 2709882 Pursuant to FINRA Rule 9216, Respondent Andrew J. 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 2020068113401data-portal.finra.orgfinra.org

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