Nex Systems
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GRACE FINANCIAL GROUP LLC

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

    04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140410861-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Grace Financial Group LLC, Respondent Broker-Dealer CRD No. 104133 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Grace Financial Group LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014041086101finra.orgdata-portal.finra.org

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