Nex Systems
Type not stated

Davenport & Company LLC

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20160499654-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Davenport & Company LLC, Respondent Broker-Dealer CRD No. 1588 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Davenport & Company LLC (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2016049965401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051515201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Davenport & Company, LLC, Respondent FINRA Member Firm BD No. 1588 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Davenport & Company, LLC (“Davenport”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2016051515201finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.