Nex Systems
Type not stated

Butler, Wick and Co. Inc.

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

    03/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007328301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Butler, Wick & Co., Inc. (CRD No. 120) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Butler, Wick & Co., Inc. ("Butler Wick" or "Respondent") 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

    Reference 2007007328301data-portal.finra.orgfinra.org

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