Nex Systems
Person

RAY ALEXANDER THOMPSON

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

    01/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 2010024707901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ray Alexander Thompson ("Thompson"), Respondent CRD No, 3209494 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2010024707901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3209494

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