Nex Systems
Person

RICHARD ERNEST GRIFFIN

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

    05/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040737401 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Richard Ernest Griffin, Respondent General Securities Representative CRD No. 2429099 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Richard Ernest Griffin ("Griffin") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2014040737401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2429099

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