Nex Systems
Type not stated

G.RESEARCH 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

    06/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2009017326901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: G.research, Inc. (formerly Gabelli & Company, Inc.) CRD No. 7353 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, G.research, Inc. (formerly Gabelli & Company, Inc.) (the "Broker/Dealer") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2009017326901data-portal.finra.orgfinra.org

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