Nex Systems
Type not stated

D.J. ST. GERMAIN 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

    04/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070071766 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: D.J. St. Germain Co., Inc., Respondent Member Firm CRD No. 3255 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we submit 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 that, if

    Reference 2007007176601data-portal.finra.orgfinra.org

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