Nex Systems
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GREGORY G. PHILLIPS

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

    05/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI2005005401 To: Department of Enforcement NASD RE: Pension Fund Evaluations, Inc. (BD#10985) Gregory G. Philipps (CRD# 1544670) Pursuant to NASD Procedural Rule 9216, Pension Fund Evaluations, Inc. ("PFE") and Gregory G. Philipps (collectively, "Respondents"), submit 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

    Reference ELI2005005401data-portal.finra.orgfinra.org

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