Nex Systems
Person

CHRISTOPHER BROOKS MINTZ

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

    07/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090169227XX TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Brooks Mintz, Respondent General Securities Representative, General Securities Principal, and General Securities Sales Supervisor CRD No. 2754673 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

    Reference 2009016922701finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2754673

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