Nex Systems
Type not stated

ESSEX NATIONAL SECURITIES INC.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0120040028-03 TO: Department of Enforcement NASD RE: Essex National Securities, Inc., Respondent Member CRD No. 25454 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Essex National Securities, Inc. ("Essex" or the "Firm") 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 E012004002803data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.