Nex Systems
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ANDREW SMITH

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

    10/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045347101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Houlihan Capital, LLC, Respondent Member Firm CRD No. 156028 Andrew Smith, Respondent Registered Principal and Registered Representative CRD No. 2433015 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Houlihan Capital, LLC and Andrew Smith submit this Letter of Acceptance, Waiver and Consent

    Reference 2015045347101finra.orgdata-portal.finra.org

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