Nex Systems
Type not stated

EMERGENT FINANCIAL GROUP 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

    01/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110269891-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Emergent Financial Group, Inc., Respondent FINRA Member Firm CRD No. 37891 Peter Brian Voldness, Respondent General Securities Principal and General Securities Representative CRD No. 872727 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Emergent Financial Group, Inc. ("Emergent" or the "firm'') and Peter Brian

    Reference 2011026989101data-portal.finra.orgfinra.org

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