Nex Systems
Type not stated

J.W. KORTH & COMPANY LP

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

    04/01/2022: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 94581 / April 1, 2022 Admin. Proc. File No. 3-19206 In the Matter of the Application of J.W. KORTH & COMPANY, LP For Review of Disciplinary Action Taken By FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Member firm of registered securities association charged excessive markups and markdowns to its customers. Held, registered securities association’s findings of violations

    Reference 2012030738501data-portal.finra.orgfinra.org

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