Nex Systems
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JEFFERIES AND 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

    09/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200018701 TO: Market Regulation Department NASD RE: Jefferies and Company, Inc., Respondent CRD No. 2347 Pursuant to Rule 9216 of NASD Code of Procedure, Jefferies and 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference 2004200018701data-portal.finra.orgfinra.org

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