Nex Systems
Person

WILLIAM ALBER HAYES

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

    05/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037953501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Alber Hayes, Respondent Registered Representative CRD No. 1398962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William Alber Hayes (''Hayes" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013037953501finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number1398962

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