Nex Systems
Person

JAMIE PATRICK LAKE

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017481401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jamie Patrick Lake, Respondent CRD No. 4773616 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jamie Patrick Lake ("Lake" or "I"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

    Reference 2009017481401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4773616

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.