Nex Systems
Type not stated

GRANT WILLIAMS L.P.

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

    05/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016225201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Grant Williams, L.P., Respondent Member Firm CRD No. 45961 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.

    Reference 2009016225201data-portal.finra.orgfinra.org

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