Nex Systems
Person

RICHARD LEE WOOD

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

    04/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013818401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Lee Wood, Respondent CRD No. 2566760 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Richard Lee Wood ("Wood") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2008013818401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2566760

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