Nex Systems
Type not stated

GRIFFIN 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

    05/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003689401 TO: Department of Enforcement NASD RE: Griffin Securities, Inc. Broker-Dealer (B.D. No. 43229) Pursuant to Rule 9216 of NASD Code of Procedure, Griffin Securities, Inc. (Griffin Securities, the Firm, or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

    Reference 2006003689401data-portal.finra.orgfinra.org

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