Nex Systems
Person

Wellington Robert Smith

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

    04/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045133701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Wellington Robert Smith, Respondent CRD No. 5669040 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Wellington Robert Smith ("Smith"), submit 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

    Reference 2015045133701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5669040

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