Nex Systems
Type not stated

BURNHAM SECURITIES INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/02/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20050014037 TO: Market Regulation Department NASD RE: Burnham Securities Inc., Respondent Broker-Dealer CRD No. 22549 Pursuant to Rule 9216 of NASD Code of Procedure, Burnham Securities Inc. ("BRNM" 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 condition that, if accepted, NASD will not bring any

    Reference 2005001403701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10040127 Department of Enforcement NASD Burnham Securities, Inc., Respondent BD No. 22549 Pursuant to Rule 9216 of NASD Code of Procedure, Burnham Securities, Inc. ("Burnham" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part D below. This AWC is submit

    Reference C10040127finra.orgdata-portal.finra.org

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