Nex Systems
Person

FRANCIS MARTIN FLOREY

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

    09/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110274007 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Francis Martin Florey, Respondent Registered Representative CRD No. 5483052 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Francis Martin Florey ("Florey") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2011027400701finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5483052

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