Nex Systems
Type not stated

GA FINANCIAL 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

    08/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016003801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GA Financial, Inc., Respondent Broker-Dealer CRD No. 42293 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GA Financial, Inc ("GA Financial" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2009016003801data-portal.finra.orgfinra.org

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