Nex Systems
Type not stated

Dougherty and Company LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100253128-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dougherty & Company LLC, Respondent Broker-Dealer CRD No. 7477 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dougherty & 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. This AWC

    Reference 2010025312801data-portal.finra.orgfinra.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.