Nex Systems
Type not stated

GEOFFREY RICHARDS SECURITIES CORP.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009015971101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Geoffrey Richards Securities Corp., Respondent Member CRD No. 120007 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Geoffrey Richards Securities Corp. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2009015971101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030485701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Geoffrey Richards Securities Corp. ("Geoffrey Richards"), Respondent Member Firm 120007 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2012030485701data-portal.finra.orgfinra.org

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