Nex Systems
Type not stated

GWM GROUP INC.

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

    01/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100254717-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GWM Group, Inc., Respondent Broker-Dealer CRD No. 42844 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GWM Group, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2010025471701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035632802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GWM Group, Inc., Respondent CRD No. 42844 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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 accepted,

    Reference 2013035632802data-portal.finra.orgfinra.org

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