Nex Systems
Person

Anthony John Cummings

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

    05/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051104901 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Anthony John Cummings, Respondent General Securities Representative CRD No. 4425912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Anthony John Cummings ("Respondent" or "Cummings"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2016051104901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4425912

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