Nex Systems
Person

RICHARD EUGENE WHITLEY

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

    06/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036068201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Eugene Whitley, Respondent General Securities Representative CRD No. 1029728 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Richard Eugene Whitley ("Whitley") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013036068201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1029728

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