Nex Systems
Type not stated

Bernard Herold and Co. 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

    10/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060051153-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bernard Herold & Co., Inc., Respondent Broker-Dealer CRD No. 6193 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Bernard Herold & Co., Inc. (the '"firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2006005115301data-portal.finra.orgfinra.org

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