Nex Systems
Type not stated

COLONIAL BROKERAGE 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

    05/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003761801 TO: Department of Enforcement NASD RE: Colonial Brokerage, Inc., Respondent [CRD No. 111668] Pursuant to Rule 9216 of NASD Code of Procedure, Colonial Brokerage, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging

    Reference 2006003761801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004001401 TO: Department of Enforcement NASD RE: Colonial Brokerage, Inc., Respondent [CRD No. 111668] and Beth P. Johnson, Respondent Financial and Operations Principal, Introducing Broker-Dealer/Financial and Operations Principal, General Securities Principal, and General Securities Representative [CRD No. 4334497] Pursuant to Rule 9216 of the NASD Code of Procedure, Colonial Brokerage, Inc. and Beth P. Johnson submit this Letter of Acceptance, Waiver

    Reference E052004001401finra.orgdata-portal.finra.org

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