Nex Systems
Person

MARK ALAN SCHROEDER

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100255279 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mark Alan Schroeder, Respondent Limited Registered Representative (CRD No. 3014840) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Mark Alan Schroeder ("Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2010025527901finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number3014840

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.