Nex Systems
Person

CHARLES L. BLOOM

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056067501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Charles Lewis Bloom, Respondent CRD No. 4144108 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Charles Lewis Bloom ("Bloom"), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2017056067501finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007507001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles L. Bloom, Respondent General Securities Representative CRD No. 4144108 Pursuant to NASD 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 2006007507001finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4144108

Other names1

Also known as1

Charles Lewis Bloom

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.