Nex Systems
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EWT LLC

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

    07/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050084 TO: Market Regulation Department NASD RE: EWT, LLC, Respondent Broker-Dealer CRD No. 45986 Pursuant to Rule 9216 of the NASD Code of Procedure, EWT, LLC ("PIFU" 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. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against the firm

    Reference CLG050084data-portal.finra.orgfinra.org

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