Nex Systems
Type not stated

Clayton Lowell, & Conger 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

    01/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130379147-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Clayton Lowell, & Conger Inc., Respondent Broker-Dealer CRD No. 44343 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Clayton Lowell, & Conger Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013037914701data-portal.finra.orgfinra.org

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