Nex Systems
Person

Stuart Blake Nichols

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

    10/25/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060875701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stuart Blake Nichols, Respondent General Securities Representative CRD No. 4932310 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stuart Blake Nichols submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018060875701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4932310

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