Nex Systems
Type not stated

J.H. DARBIE & CO. INC.,WOLF A. POPPER INC.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041086502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J.H. Darbie & Co., lnc., Respondent (BD No. 43520) and Wolf A. Popper, lnc., Respondent (BD No. 44974) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, J.H. Darbie & Co., Inc. ("Darbie") and Wolf A. Popper, Inc. ("Popper"), collectively,

    Reference 2014041086502data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.