Nex Systems
Type not stated

EDWIN H. JAFFE

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

    06/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004022602 TO Department of Enforcement NASD RE Edwin H. Jaffe, Respondent General Securities Principal and General Securities Representative [CRD No. 1382154] Pursuant to Rule 9216 of the NASD 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 in Part II below.

    Reference E052004022602data-portal.finra.orgfinra.org

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