Nex Systems
Type not stated

JOE JOLLY & CO. 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

    06/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043295401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joe Jolly & Co., Inc., Respondent FINRA Member Firm BD No. 7170 Pursuant to FINRA Rule 9216 of FINRA' s Code of Procedure, Joe Jolly & Co., Inc. ("JJC 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 below.

    Reference 2015043295401data-portal.finra.orgfinra.org

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