EHRENDRANTZ KING NUSSBAUM INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000036-01 TO: Market Regulation Department NASD RE: Ehrendrantz King Nussbaum, Inc. ("EKNS") Respondent Broker-Dealer CRD No. 113525 Pursuant to Rule 9216 of NASD Code of Procedure, Ehrendrantz King Nussbaum, Inc. ("EKNS") 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. This AWC is submitted on the condition that, if accepted, NASD will
Reference 2005000003601data-portal.finra.orgfinra.org
Other names1
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