Nex Systems
Person

Earl Quon

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

    08/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061251501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Earl Quon, Respondent Former General Securities Representative and General Securities Sale Supervisor CRD No. 3278125 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Earl Quon (“Quon”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2019061251501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3278125

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