Nex Systems
Person

Roger Kroeger

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

    09/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056614402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roger Kroeger, Respondent General Securities Representative CRD No. 1526864 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Roger Kroeger, ("Kroeger" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2017056614402data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1526864

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