Nex Systems
Type not stated

BEAR STEARNS & CO. INC. N.K.A. J.P. MORGAN SECURITIES 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

    08/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006804401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bear Stearns & Co., lnc., n.k.a. J.P. Morgan Securities, Inc., Respondent CRD No. 79 Renee Fourcade, Respondent General Securities Representative CRD No. 1021348 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Bear Stearns & Co., Inc., n.k.a. J.P. Morgan Securities, Inc., ("Bear Stearns" or the "Firm") and Renee

    Reference 2006006804401data-portal.finra.orgfinra.org

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