Nex Systems
Type not stated

GRIGSBY & ASSOCIATES INC.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20090205222-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Grigsby & Associates, Inc., Respondent Broker-Dealer CRD No. 13364 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Grigsby & Associates, Inc. (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 2009020522201data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.