Nex Systems
Person

Sean J. Waters

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

    11/28/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054755203 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Sean J. Waters, Respondent General Securities Representative CRD No. 4414180 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2017054755203finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4414180

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