Nex Systems
Type not stated

JEFERIES & 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

    02/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080136794-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Jefferies & Company, Inc., Respondent Broker-Dealer CRD No. 2347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Jefferies & Company, Inc. ("JEFF" or the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2008013679401data-portal.finra.orgfinra.org

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