Nex Systems
Person

PHILIP W. RUSSELL

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

    12/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Philip W. Russell, General Securities Representative, (CRD No. 1185202), Respondent. Disciplinary Proceeding No. 2007010589501 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 8, 2009 INTRODUCTION Disciplinary Proceeding No. 2007010589501 was filed on September 23, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2007010589501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1185202

Other names1

Also known as1

PHILIP WAYNE RUSSELL

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