Nex Systems
Person

Richard Earl Cagle

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060287901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Earl Cagle, Respondenet General Securities Registered Representative CRD No. 2122648 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Richard Earl Cagle ("Cagle" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018060287901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2122648

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.