Nex Systems
Person

STEVEN L. FALK

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

    11/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025785401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven L. Falk, Respondent General Securities Representative General Securities Principal Direct Participation Programs Representative Direct Participation Programs Principal Limited Representative - Investment Banking CRD No. 1207626 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Steven L. Falk ("Respondent" or

    Reference 2011025785401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1207626

Other names1

Also known as1

STEVEN LAWRENCE FALK

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