Nex Systems
Type not stated

BRIMBERG & CO. L.P.

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

    08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080136966-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Brimberg & Co., L.P., Respondent Broker-Dealer CRD No. 1315 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brimberg & Co., L.P. (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 2008013696601finra.orgdata-portal.finra.org

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