Nex Systems
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ERIC M. GRACE

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

    01/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220040695-01 TO: Department of Enforcement NASD RE: Eric M. Grace. Respondent General Securities Representative and General Securities Principal CRD No. 2240979 Pursuant to Rule 9216 of NASD Code of Procedure, I, Eric M. Grace ("Grace"), 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

    Reference E022004069501data-portal.finra.orgfinra.org

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