Nex Systems
Type not stated

BORNHOFT GROUP SECURITIES CORPORATION

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

    01/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013035001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bornhoft Group Securities Corporation ("BGSC") Member Firm CRD No. 21946 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BGSC 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 submitted on the

    Reference 2008013035001data-portal.finra.orgfinra.org

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