Nex Systems
Type not stated

GABELLI & COMPANY 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

    03/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004004801 TO: Department of Enforcement NASD RE: Gabelli & Company, Inc., Respondent BD No. 7353 Pursuant to Rule 9216 of NASD Code of Procedure, we 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 condition that, if accepted, NASD will not bring any future actions against us alleging violations based on

    Reference E9B2004004801data-portal.finra.orgfinra.org

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