Nex Systems
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GREENBERG FINANCIAL GROUP

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

    05/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060058223-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Greenberg Financial Group, Respondent Broker-Dealer CRD No. 38747 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Greenberg Financial Group (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2006005822301data-portal.finra.orgfinra.org

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