Nex Systems
Person

Elton Norman

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

    10/16/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057815601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elton Norman, Respondent General Securities Representative CRD No. 6402086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elton Norman submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018057815601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6402086

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