Nex Systems
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Buttonwood Partners 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

    01/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005002801 TO: Department of Enforcement NASD RE: Buttonwood Partners, Inc. Broker-Dealer CRD No. 27108 Pursuant to Rule 9216 of NASD Code of Procedure, Buttonwood Partners, Inc. ("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 II below. This AWC is submitted

    Reference E8A2005002801finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/20/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045144001 TO: Department of Enforcement, Financial Industry Regulatory Authority (“FINRA”) RE: Buttonwood Partners, Inc., Respondent Member CRD No. 27108 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Buttonwood Partners, Inc. (“Buttonwood” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015045144001finra.orgdata-portal.finra.org

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