Nex Systems
Type not stated

First Kentucky Securities Corporation

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

    04/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021314101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Kentucky Securities Corporation, Respondent (CRD No. 7524) and Frederick J. Kramer Financial and Operations Principal (CRD No. 2299599) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Kentucky Securities Corporation and Frederick J. Kramer (hereinafter referred to as "Respondents") submit this

    Reference 2010021314101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048226101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: First Kentucky Securities Corporation, Respondent CRD No. 7524 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, First Kentucky Securities Corp. (“First Kentucky” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2016048226101data-portal.finra.orgfinra.org

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