Nex Systems
Type not stated

GARDEN STATES SECURITIES 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

    05/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018819201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Garden States Securities, Inc., Respondent Member Firm CRD No. 10083 Kevin John DeRosa, Respondent General Securities Principal CRD No. 2314895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2009018819201data-portal.finra.orgfinra.org

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