Nex Systems
Type not stated

FAGENSON & CO. INC.

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

    04/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070118300 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: Fagenson & Co., Inc., Respondent CRD No. 1781 Pursuant to Rule 9216 of FINRA's Code of Procedure, Fagenson & Co., Inc. ("Respondent" or "Fagenson," 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 below.

    Reference 2007011830001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123266-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fagenson & Co., Inc., Respondent Broker/Dealer CRD No. 1781 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Fagenson & Co., Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2008012326601data-portal.finra.orgfinra.org

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