Nex Systems
Person

ANDREW WILLIAM BAUM

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

    04/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070108993-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Andrew William Baum, Respondent CRD No. 2087276 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, I, Andrew William Baum, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

    Reference 2007010899301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2087276

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