Nex Systems
Type not stated

HARRIS NESBITT CORP.

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

    07/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000208-01 TO: Department of Market Regulation NASD RE: Harris Nesbitt Corp., Respondent Broker-Dealer CRD No. 16686 Pursuant to Rule 9216 of NASD Code of Procedure, Harris Nesbitt Corp. (the ''firm" or "HRNB") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference 2004200020801data-portal.finra.orgfinra.org

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