Nex Systems
Type not stated

DETWILER FENTON & CO.

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

    12/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016300601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Detwiler Fenton & Co., Respondent Member Firm CRD No. 1794 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 that

    Reference 2009016300601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025433301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Detwiler Fenton & Co. (BD No. 1794), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Detwiler Fenton & Co. ("Respondent, "DFC," or 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. This AWC is

    Reference 2011025433301data-portal.finra.orgfinra.org

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