Nex Systems
Type not stated

CARTY & COMPANY 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

    10/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043297101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carty & Company, Inc., Respondent FINRA Member Firm BD No. 7001 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Carty & Company, Inc, ("Carty") 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 2015043297101finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018036501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carty & Company, Inc., Respondent Member Firm CRD No. 7001 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Carty & Company, Inc. ("Carty & Company" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2009018036501finra.orgdata-portal.finra.org

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