Nex Systems
Person

ROY DWANE JOHNSON

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

    06/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039861901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roy Dwane Johnson, Respondent Former General Securities Representative CRD No. 2429985 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Roy Dwane Johnson ("Johnson" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014039861901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2429985

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