Nex Systems
Type not stated

BOENNING & SCATTERGOOD 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

    06/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003777301 TO: Department of Enforcement NASD RE: Boenning & Scaliergood, Inc. Member CRD No. 100 Thomas J. Chancler General Securities Principal CRD No. 44417 James Still General Securities Representative CRD No. 5083890 Pursuant to Rule 9216 of the NASD Code of Procedure, Boenning & Scattergood, Inc. ("BSI"), Thomas J. Chancler ("Chancler") and James Still ("Still") submit this Letter of

    Reference 2006003777301data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110302889-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Boenning & Scattergood, Inc., Respondent Broker-Dealer CRD No. 100 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Boenning & Scattergood, Inc. ("BOSC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2011030288901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014038906401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Boenning & Scaltergood, Inc., Respondent CRD No. 100 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Boenning & Scattergood, Inc. ("Boenning" 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 below

    Reference 2014038906401data-portal.finra.orgfinra.org

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