Nex Systems
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HEADWATERS BD LLC

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

    12/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030462001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Headwaters BD, LLC, Respondent CRD No. 117042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Headwaters BD, LLC (“Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged

    Reference 2012030462001finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Headwaters BD, LLC (CRD No. 117042), and Roberta A. Laraway (CRD No. 4845302), and Paul E. Janson (CRD No. 4992234) and Philip W. Seefried (CRD No. 1747086) Respondents. DISCIPLINARY PROCEEDING No. 2010020941501 HEARING OFFICER: LOM ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2010020941501 was filed on June 8, 2011, by the Department of Enforcement of

    Reference 2010020941501data-portal.finra.orgfinra.org

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