Nex Systems
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LEXINGTON INVESTMENT COMPANY INC

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016358501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lexington Investment Company, Inc., Respondent CRD No. 27393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lexington Investment Company, Inc. [Lexington or Respondent] submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2009016358501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2012031130001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lexington Investment Company, Inc. CRD No.: 27393 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lexington Investment Company, Inc. ("Lexington" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2012031130001finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2005013001 TO: Department of Enforcement NASD RE: Lexington Investment Company, Inc. (CRD No. 27393) Pursuant to Rule 9216 of NASD Code of Procedure, Lexington Investment Company, Inc. ("Member") 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

    Reference E8A2005013001data-portal.finra.orgfinra.org

Other names1

Also known as1

LEXINGTON INVESTMENT COMPANY INC.

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