Nex Systems
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Harpeth 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

    05/19/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069277101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harpeth Securities, LLC (Respondent) Member Firm CRD No. 109821 Pursuant to FINRA Rule 9216, Respondent Harpeth Securities, 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 2021069277101data-portal.finra.orgfinra.org

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