Nex Systems
Type not stated

FIRST GLOBAL SECURITIES INC.

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

    04/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050026 TO: Department of Enforcement NASD RE: First Global Securities, Inc., Member Firm CRD No. 28612 Noble Bradford Trenham. General Securities Principal CRD No. 449157 Pursuant to Rule 9216 of NASD Code of Procedure, we 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 below. This AWC is submitted on the condition that, if accepted, NASD will not

    Reference C02050026data-portal.finra.orgfinra.org

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