Nex Systems
Type not stated

FIRST HUDSON FINANCIAL GROUP 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

    01/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004029901 TO: Department of Enforcement NASD RE: First Hudson Financial Group, Inc., Respondent BD No. 32926 Pursuant to Rule 9216 of NASD Code of Procedure, First Hudson Financial Group, Inc. ("First Hudson" or "Respondent") 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

    Reference E102004029901data-portal.finra.orgfinra.org

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