Nex Systems
Person

RODNEY DEWAYNE WELCH

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

    10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044103101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rodney Dewayne Welch, Respondent Investment Company and Variable Contracts Products Representative (IR) CRD No. 5628247 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Rodney Dewayne Welch ("Welch"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2015044103101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5628247

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