Nex Systems
Person

JONATHAN CLARK POOL

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

    12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037992001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathan Clark Pool, Respondent CRD No. 5110534 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Pool submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013037992001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5110534

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