Nex Systems
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HARRIS WILLIAMS 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

    10/12/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003783701 TO: Department of Enforcement NASD RE: Harris Williams LLC Member CRD No. 113930 Pursuant to Rule 9216 of NASD Code of Procedure, Harris Williams LLC ("Harris Williams") 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 actions against it

    Reference 2006003783701data-portal.finra.orgfinra.org

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