Nex Systems
Type not stated

General Securities Corp.

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

    05/30/2025: From June 30, 2020, to August 6, 2024, General Securities failed to disclose its own and its registered representatives’ disciplinary history in the firm’s customer relationship summary (Form CRS) and failed to comply with the instructions for Form CRS. By filing and delivering to customers a Form CRS that omitted required information, General Securities willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010. General Securities consents to a censure, a $25,000 fine, and an undertaking to submit a certification to FINRA that it has reviewed and remediated the deficiencies in its Form CRS, and has filed, delivered and posted to its publicly-available website a Form CRS that complies with Exchange Act §17(a)(1), Exchange Act Rule 17a-14, and FINRA Rule 2010...

    Reference 2024080209001finra.orgdata-portal.finra.org

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