Nex Systems
Type not stated

GARBAN CORPORATES LLC

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

    03/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050029 TO: Department of Market Regulation NASD RE: Garban Corporates LLC, Respondent Broker-Dealer CRD No. 2762 Pursuant to Rule 9216 of NASD Code of Procedure, Garban Corporates LLC ("GARB" or "firm") 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 CLG050029data-portal.finra.orgfinra.org

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