Nex Systems
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George K. Baum & Company

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

    01/03/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043587201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: George K. Baum & Company, Respondent Member Firm CRD No. 36354 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent George K. Baum & Company (“GKB” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule

    Reference 2015043587201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/15/2015: FINANCIAL INDUSTRY OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035375901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George K. Baum & Company, Respondent Member Firm CRD No. 36354 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent George K. Baum & Company ("GKB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2013035375901data-portal.finra.orgfinra.org

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