Nex Systems
Type not stated

EMANUEL J. FRIEDMAN

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

    12/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000245004 TO: Market Regulation Department NASD RE; Friedman, Billings, Ramsey & Co., lnc., Broker-dealer No. 25027 Emanuel J. Friedman, CRD No, 214565. Nicholas J. Nichols, CRD No. 347673. Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit 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

    Reference 2005000245004data-portal.finra.orgfinra.org

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