Nex Systems
Person

STUART DAVID BARON

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

    11/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012408101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stuart David Baron, Respondent Former Registered Representative CRD No. 3093975 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stuart David Baron, ("Baron") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2008012408101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3093975

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