Nex Systems
Person

DAN JON CARPENTER

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

    03/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044304601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Dan Jon Carpenter, Respondent Registered Representative CRD No. 4857094 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dan Jon Carpenter ("Carpenter" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015044304601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4857094

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