Nex Systems
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FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

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

    10/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20090183062-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Folger Nolan Fleming Douglas Incotporated, Respondent Broker-Dealer CRD No. 319 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Folger Nolan Fleming Douglas Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2009018306201data-portal.finra.orgfinra.org

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