Nex Systems
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FROGGATTE & COMPANY

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

    08/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420040066-01 To: Department of Enforcement NASD Re: Froggatte & Company Member (CRD No. 43161) and Theron L. Froggatte Financial and Operations Principal, General Securities Principal, Municipal Securities Principal, Investment Company/Variable Contracts Representative and Direct Participation Programs Representative (CRD No. 1902647) Pursuant to NASD Procedural Rule 9216, Froggatte & Company (Froggatte) and Theron L. Froggatte (T. Froggatte) (collectively

    Reference E042004006601finra.orgdata-portal.finra.org

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