Nex Systems
Type not stated

H.C. Wainwright & Co. LLC

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/14/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075458801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H.C. Wainwright & Co., LLC (Respondent) Member Firm CRD No. 375 Pursuant to FINRA Rule 9216, Respondent H.C. Wainwright & Co., LLC 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, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2022075458801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/23/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055977301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H.C. Wainwright & Co., LLC (Respondent) Member Firm CRD No. 375 John Wesley Chambers (Respondent) General Securities Representative, General Securities Principal, Investment Banking Representative, and Investment Banking Principal CRD No. 1863864 Robert Eugene Kristal (Respondent) Former General Securities Representative, General Securities Principal, Research Principal, Investment Banking Representative, and Investment Banking Principal CRD No. 4269940 Pursuant to FINRA Rule 9216, Respondents H.C. Wainwright & Co., LLC, John Wesley Chambers, and Robert Eugene Kristal submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2017055977301data-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.