Nex Systems
Type not stated

B. RILEY AND CO. INC.

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

    08/01/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20050033034-01 TO: Department of Market Regulation NASD RE: B. Riley and Co. Inc., Respondent Broker-Dealer CRD No. 40355 Sherry Lee Tejeda, Respondent CRD No. 2478647 Knut L. Grevle, Respondent CRD No. 4152295 Pursuant to Rule 9216 of NASD Code of Procedure, B. Riley and Co. Inc. (the "firm" or "RILY"), Sherry Lee Tejeda ("Tejeda") and Knut L. Grevle ("Grevle") (collectively, the "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2005003303401data-portal.finra.orgfinra.org

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