Nex Systems
Type not stated

C & CO/PRINCERIDGE LLC

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

    11/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120334933-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: C & Co/Princeridge LLC, Respondent Broker-Dealer CRD No. 149758 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, C & Co/Princeridge LLC (the “firm") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement

    Reference 2012033493301data-portal.finra.orgfinra.org

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