Nex Systems
Person

DUDLEY FRANKLIN STEPHENS

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

    06/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037374401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dudley Franklin Stephens, Respondent General Securities Representative CRD No. 4119268 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dudley Franklin Stephens ("Respondent" or "Stephens") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference 2013037374401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4119268

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