Nex Systems
Type not stated

B. RILEY & CO. LLC

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

    08/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080149136-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: B. Riley & Co., LLC, Respondent Broker-Dealer CRD No. 40355 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, B. Riley & Co., LLC ("RILY" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2008014913601data-portal.finra.orgfinra.org

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