Nex Systems
Person

Richard Michael Wesselt

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

    11/09/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059035701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Michael Wesselt, Respondent CRD No. 2195569 Pursuant to FINRA Rule 9216, Respondent Richard Michael Wesselt submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059035701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2195569

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