Nex Systems
Person

STEVEN EDWARD WISECARVER

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

    11/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010935701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven Edward Wisecarver Investment Company and Variable Contracts Products Representative (CRD No. 3199948) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Steven Edward Wisecarver (Wisecarver or Respondent) submits the Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2007010935701finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number3199948

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