Nex Systems
Type not stated

GRATTAN FINANCIAL SECURITIES 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

    05/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050039 TO: Department of Enforcement NASD RE: Grattan Financial Securities, Inc. Former NASD Member Firm CRD No. 43484 Georgene M. Grattan, General Securities Representative, General Securities Principal, Financial and Operations Principal, General Securities Sales Supervisor and Registered Options Principal CRD No. 1085145 Pursuant to Rule 9215 of NASD Code of Procedure, Georgene M. Grattan ("Grattan"), individually and on behalf of Grattan

    Reference C02050039data-portal.finra.orgfinra.org

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