Nex Systems
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INGALLS & SNYDER 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

    07/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070099254-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: lngalls & Snyder, LLC, Respondent Broker-Dealer CRD No. 2288 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ingalls & Snyder, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2007009925401data-portal.finra.orgfinra.org

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