Nex Systems
Person

Derek Allen Sunderland

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

    03/06/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049050801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Derek Allen Sunderland, Respondent Former General Securities Representative and Principal CRD No. 2996941 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

    Reference 2016049050801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2996941

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