Nex Systems
Person

ROGER ALLAN FULLER

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. 2012031369801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger Allan Fuller, Respondent Registered Representative CRD No. 1722316 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Roger Allan Fuller ("Respondent" or "Fuller), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2012031369801finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number1722316

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