Nex Systems
Type not stated

GLOBAL TRANSITION SOLUTIONS 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

    03/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016334901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Global Transition Solutions, Inc. BD No. 21622 and James Zogby CRD No. 2549557 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Global Transition Solutions, Inc. and James Zogby ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2009016334901data-portal.finra.orgfinra.org

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