Nex Systems
Type not stated

JENNINGS SECURITIES LLC

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

    11/04/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## E102004021901 TO: Department of Enforcement NASD RE: Jennings Securities, LLC ("Jennings Securities" or the "firm") (BD No. 37651) and Pursuant to Rule 9216 of NASD Code of Procedure, Jennings Securities, LLC and (collectively, the "Respondents") 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

    Reference E102004021901data-portal.finra.orgfinra.org

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