Nex Systems
Person

JOEL WILLIAM CARLSON

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

    04/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031202901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joel William Carlson (CRD 2844760) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joel William Carlson ("Carlson" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2012031202901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2844760

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