Nex Systems
Type not stated

COHEN & COMPANY SECURITIES 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

    11/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016281001 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Cohen & Company Securities, LLC, Respondent Member CRD No. 104002 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 submitted on the condition

    Reference 2009016281001data-portal.finra.orgfinra.org

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