Nex Systems
Person

KEATH A. WARD

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KEATH A. WARD (CRD No. 2785440), Respondent. Disciplinary Proceeding No. 2010025270802 Hearing Officer - MAD DEFAULT DECISION July 27, 2012 Respondent is barred from associating with any FINRA-registered firm in any capacity for failing to respond to requests for information, in violation of FINRA Rules 8210 and 2010. Appearances For the Department of Enforcement, Complainant, Soo H. Im, Esq. No

    Reference 2010025270802finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2785440

Other names1

Also known as1

KEATH ALLEN WARD

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.