Nex Systems
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Groton Securities LLC

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

    12/04/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 20160476257 01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Groton Securities LLC, Respondent BD No. 126600 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Groton Securities LLC (“Groton” or the “Firm” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2016047625701data-portal.finra.orgfinra.org

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