Nex Systems
Person

THOMAS SHANNON ENSIGN

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

    04/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100239271 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: Thomas Shannon Ensign, Respondent CRD No. 1343540 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2010023927101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1343540

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