Nex Systems
Type not stated

Hill Thompson Magid and Co. Inc.

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

    01/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050024894-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Hill Thompson Magid & Co. Inc., Respondent Broker-Dealer CRD No. 125363 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Hill Thompson Magid & Co. Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2005002489401data-portal.finra.orgfinra.org

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