Nex Systems
Person

Lawrence J. Fawcett Jr.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/26/2018: FINANCIAL INDUSTRY REGULATORY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056329801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Lawrence J. Fawcett Jr., Respondent CRD No. 5851474 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Lawrence J. Fawcett Jr. (“Fawcett” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing

    Reference 2017056329801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043939101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Lawrence J. Fawcett, Respondent General Securities Representative CRD No. 5851474 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Lawrence J. Fawcett (“Fawcett” or “Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the

    Reference 2015043939101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5851474

Other names2

Also known as2

LAWRENCE JOHN FAWCETT, JRLawrence J. Fawcett

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