Nex Systems
Person

TOM D. HAMSHER

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/27/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018421001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Tom D. Hamsher, Respondent General Securities Representative CRD No. 1708793 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 below. This AWC is submitted on the

    Reference 2009018421001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1708793

Other names1

Also known as1

TOM DOUGLAS HAMSHER

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.