Nex Systems
Type not stated

BERGEN CAPITAL 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

    11/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF 0401260002 TO: Department of Enforcement NASD RE: Bergen Capital, Inc., CRD No. 46348 Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent Bergen Capital, Inc. ("Bergen" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II. below. This AWC is submitted upon the condition that, if accepted, NASD will not bring any future actions

    Reference EAF0401260002data-portal.finra.orgfinra.org

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