Nex Systems
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Berkshire Global Advisors LP

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

    01/23/2025: From October 2019 through the present, Berkshire failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to supervise outside brokerage accounts. As a result, Berkshire violated FINRA Rules 3110 and 2010.

    Reference 2020065207701finra.orgdata-portal.finra.org

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