Nex Systems
Person

Joseph Viet Duy Phan

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

    11/20/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060408801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph Viet Duy Phan, Respondent Former Registered CRD No. 2555300 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joseph Viet Duy Phan ("Phan" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018060408801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2555300

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