Nex Systems
Person

CHARLES EUGENE CROTTS

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

    06/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032962301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Eugene Crotts, Respondent Former General Securities Representative CRD No. 5354524 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Eugene Crotts ("Crotts" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2012032962301finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5354524

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