Nex Systems
Person

JON ERIC GUAY

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

    06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20130355779-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Jon Eric Guay, Respondent CRD No. 2837453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jon Eric Guay ("Guay" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2013035577901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2837453

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