Nex Systems
Person

Frederick Christopher Piatt

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

    06/20/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034017501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frederick Christopher Piatt (CRD No. 4265737), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frederick Piatt ("Piatt" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2012034017501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4265737

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