Nex Systems
Person

KENNETH GEORGE NEELY

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

    07/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015730901 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Kenneth George Neely, Respondent CRD No. 1586038 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kenneth G. Neely, 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 the condition

    Reference 2008015730901finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number1586038

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