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Essex National Securities, Inc.

Essex National Securities, Inc. (CRD #25454, Napa, California) received a censure and fine of $25,000, including disgorgement of $7,000. According to the findings, the firm allowed individuals to engage in a securities business, for compensation, while not properly registered with NASD. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10030112)

Did Essex National Securities, Inc. manage your investments?



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