Nex Systems
Person

SHAWN S. KELLER

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

    05/20/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHAWN S. KELLER (CRD No. 2973355), Respondent Disciplinary Proceeding No. 2008015227201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 20, 2009 The Respondent violated Conduct Rule 2110 by stealing equipment from his firm's office, and violated Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to

    Reference 2008015227201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2973355

Other names1

Also known as1

SHAWN STEVEN KELLER

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