Nex Systems
Person

John Robert Nicholson

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

    11/19/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052411501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John Robert Nicholson, Respondent Former General Securities Sales Supervisor CRD No. 2661099 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, John Robert Nicholson ("Nicholson" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2016052411501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2661099

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