Nex Systems
Person

CLIFFORD FRANK STALEY

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

    06/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039143701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clifford Frank Staley, Respondent CRD No. 5987325 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2013039143701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5987325

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