Nex Systems
Person

THOMAS MITCHELL FORBES

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

    03/31/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Thomas Mitchell Forbes, CRD No. 4093425, Respondent. Disciplinary Proceeding No. 20050018292 02 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 31, 2006 INTRODUCTION Disciplinary Proceeding No. 20050018292 02 was filed on February 1, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Forbes submitted an Offer of Settlement ("Offer") to Complainant on March 20, 2006. Pursuant to Code

    Reference 2005001829202finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4093425

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