Nex Systems
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ANDREW W. MACGILL

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

    02/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011933101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H&R Block Financial Advisors, Inc. (n/k/a Ameriprise Financial Services, Inc.), Respondent CRD No. 5979 Andrew W. MacGill, Respondent General Securities Representative CRD No. 1302000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, H&R Block Financial Advisors, Inc. (n/k/a Ameriprise Financial Services, Inc.)

    Reference 2007011933101data-portal.finra.orgfinra.org

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