Nex Systems
Type not stated

Bishop, Rosen & Co. Inc.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007535401 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bishop, Rosen & Co., Inc., Respondent Broker/Dealer CRD No. 1248 Pursuant to Rule 9216 of the FINRA Code of Procedure, Bishop, Rosen & Co., Inc. (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

    Reference 2006007535401finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002661-01 TO: Market Regulation Department NASD RE: Bishop, Rosen & Co., Inc., Respondent CRD No. 1248 Pursuant to Rule 9216 of NASD Code of Procedure, Bishop Rosen & Co., Inc. ("BISH or "the 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 on the

    Reference 2005000266101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110285104-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bishop, Rosen & Co., Inc., Respondent Broker-Dealer CRD No. 1248 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Bishop, Rosen & Co., Inc. (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

    Reference 2011028510401finra.orgdata-portal.finra.org

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