Nex Systems
Type not stated

GRAND FINANCIAL 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

    02/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025614701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Grand Financial, Inc., Respondent CRD Number: 19571 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 described below. This AWC is submitted on the condition that, if accepted

    Reference 2011025614701data-portal.finra.orgfinra.org

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