Nex Systems
Type not stated

E. MAGNUS OPPENHEIM & 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

    12/06/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004863601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E. Magnus Oppenheim & Co., Inc., Respondent CRD No. I4268 E. Magnus Oppenheim, Respondent CRD No. 353111 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Respondents E. Magnus Oppenheim & Co., Inc. and E. Magnus Oppenheim submit this Letter of Acceptance, Waiver and Consent

    Reference 2006004863601finra.orgdata-portal.finra.org

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