Nex Systems
Type not stated

Friedman, Billings, Ramsey & Co. Inc.

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000245004 TO: Market Regulation Department NASD RE; Friedman, Billings, Ramsey & Co., lnc., Broker-dealer No. 25027 Emanuel J. Friedman, CRD No, 214565. Nicholas J. Nichols, CRD No. 347673. Pursuant to Rule 9216 of NASD Code of Procedure, Respondents 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

    Reference 2005000245004data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9A2005004702 TO: Department of Enforcement NASD RE: Friedman, Billings, Ramsey & Co., Inc. Member CRD No. 25027 Pursuant to Rule 9216 of the NASD Code of Procedure, Friedman, Billings, Ramsey & Co., Inc. ("FBR") 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 will not bring any

    Reference E9A2005004702data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060067563-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Friedman, Billings, Ramsey & Co., Inc., Respondent Broker-Dealer CRD No. 25027 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Friedman, Billings, Ramsey & Co., Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent

    Reference 2006006756301finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.