Nex Systems
Person

LARRY RICHARD GREGORY

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

    07/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20110264060-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Larry Richard Gregory, Respondent CRD No. 2308559 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Larry Richard Gregory ("Gregory" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2011026406001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2308559

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