Nex Systems
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Hovde Group 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

    01/07/2025: From August 2020 until July 2024, Hovde Group failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to review the securities transactions in its associated persons’ outside brokerage accounts for potential violations of securities laws and FINRA rules. As a result, the firm violated FINRA Rules 3110 and 2010.

    Reference 2024080106601data-portal.finra.orgfinra.org

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