Nex Systems
Type not stated

GREG MERRICK

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009773001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sicor Securities, Inc. (CRD No. 16195) Greg Merrick (CRD No. 2933448) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sicor Securities, Inc. ("Sicor") and Greg Merrick ("Merrick") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2007009773001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2010021015201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sicor Securities, Inc. CRD No. 131282 Greg Merrick Registered Principal CRD No. 2933448 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sicor Securities, Inc. ("Sicor") and Greg Merrick ("Merrick") (collectively, "Respondents"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2010021015201finra.orgdata-portal.finra.org

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