Nex Systems
Type not stated

Bjorn J. Erickson

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

    04/21/2025: Between January 2018 and May 2022, Little willfully violated Municipal Securities Rulemaking Board (MSRB) Rules G-11 and G-17 by submitting orders for new issue municipal bonds without disclosing that the bonds were for NewEdge's dealer account. For these violations, Little is suspended in all capacities for nine months and fined $20,000. Between January 2018 and May 2022, Cline and Erickson violated MSRB Rule G-27 by failing to reasonably respond to red flags indicating the firm was obtaining improper allocations of new issue municipal bonds. For these violations, Cline and Erickson are each suspended in all principal capacities for three months and are each fined $10,000.

    Reference 2019063566202data-portal.finra.orgfinra.org

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