Nex Systems
Person

NORRIS RICHARD ROBERTS, JR

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

    02/28/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170553578-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Norris Richard Roberts Jr., Respondent General Securities Representative CRD No. 4394273 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I Norris Richard Roberts (“Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2017055357801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4394273

Other names1

Also known as1

Norris Richard Roberts Jr.

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