Nex Systems
Person

Timothy Francis Dufresne

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

    04/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049412601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Timothy Francis Dufresne, Respondent Former Registered Representative CRD No. 3237322, Pursuant to FINRA Rule 9216 of FINRA s Code of Procedure, I submit this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2016049412601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3237322

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