Nex Systems
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AARON D. SMALL

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

    12/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Aaron D. Small (CRD No. 3064188), Respondent. DISCIPLINARY PROCEEDING No. 2011028257102 HEARING OFFICER - LOM ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2011028257102 was filed on October 21, 2013 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Aaron D. Small submitted an Offer of Settlement (Offer)

    Reference 2011028257102data-portal.finra.orgfinra.org

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