Nex Systems
Type not stated

J. W. Korth & Company

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

    05/23/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. J. W. Korth & Company Lansing, MI, Respondent. AMENDED DECISION Complaint No. 2012030738501 Dated: May 23, 2019 Respondent firm charged excessive markups on sales of municipal and corporate bonds, and excessive markdowns on purchases of corporate bonds. Held, findings and sanctions affirmed.

    01/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. J. W. KORTH & COMPANY (CRD No. 26455), Respondent. Disciplinary Proceeding No. 2012030738501 Hearing Officer-CC HEARING PANEL DECISION January 26, 2017 Respondent, a fixed income dealer, charged excessive markups on 38 sales of municipal bonds and nine sales of corporate bonds, and excessive markdowns on four purchases of corporate bonds. For these violations, Respondent is ordered to pay

    Reference 2012030738501data-portal.finra.orgdata-portal.finra.orgfinra.org

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