Nex Systems
Type not stated

DANIEL L. RITZ JR.

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

    10/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022679801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Institutional Capital Management, Inc., Respondent [CRD No. 41055] and Daniel L. Ritz, Jr., Respondent [CRD No. 1977521] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Institutional Capital Management, Inc. and Daniel L. Ritz, Jr. (hereinafter, "Respondents") submit this Letter of Acceptance, Waiver and Consent

    Reference 2010022679801data-portal.finra.orgfinra.org

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