Nex Systems
Type not stated

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

    05/04/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046315102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Moloney Securities, Co., Inc., Respondent Member Firm CRD No. 38535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Moloney Securities, Co., Inc. (the "Firm," "Respondent" or "Moloney") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015046315102data-portal.finra.orgfinra.org

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