Nex Systems
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BARRETT & COMPANY

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

    09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060068724-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Barrett & Company, Respondent Broker-Dealer CRD No. 1175 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Barrett & Company (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 AWC is submitted

    Reference 2006006872401data-portal.finra.orgfinra.org

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