Nex Systems
Person

THOMAS EDWARD KELLY

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100253447 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Edward Kelly, Respondent CRD No. 1386403 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Thomas Edward Kelly ("Kelly" or the Respondent), submits 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

    Reference 2010025344701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1386403

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.