Nex Systems
Person

Carl Wade Thomason

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

    01/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068668801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Carl Wade Thomason (Respondent) Former Investment Company and Variable Contracts Products Representative (IR) CRD No. 2100429 Pursuant to FINRA Rule 9216, Respondent Carl Wade Thomason submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020068668801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2100429

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.