Nex Systems
Type not stated

JEFFERSON PILOT SECURITIES CORP.

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

    03/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11050004 TO: Department of Enforcement NASD RE: Jefferson Pilot Securities Corp. BD No. 3870 Pursuant to Rule 9216 of NASD Code of Procedure, we submit 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 C11050004data-portal.finra.orgfinra.org

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