Nex Systems
Type not stated

Essex Securities LLC

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025433901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Essex Securities, LLC (BD No. 46605), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Essex Securities, LLC ("Essex" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2011025433901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/13/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047573901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Essex Securities, LLC, Respondent CRD No. 46605 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Essex Securities, LLC ("Essex" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2016047573901finra.orgdata-portal.finra.org

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