Nex Systems
Person

William Ruan

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

    09/10/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053599501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: William Ruan, Respondent Investment Banking Representative CRD No. 5827653 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. This AWC is submitted on

    Reference 2017053599501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5827653

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