Nex Systems
Type not stated

J.W. KORTH & COMPANY 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

    12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. J.W. Korth & Company, Inc. (CRD No. 26455), Respondent. DISCIPLINARY PROCEEDING No. 2012030738501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2009 and December 2011, J.W. Korth & Company, Inc. ("J.W. Korth" or the "Firm") put its own interests ahead of the interests of its customers, charging those customers excessive markups and markdowns on

    Reference 2012030738501data-portal.finra.orgfinra.org

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