Nex Systems
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AARON D. VALLETT

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

    05/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005754402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aaron D. Vallett, Respondent General Securities Representative CRD No. 4421122 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Aaron D. Vallett, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2006005754402data-portal.finra.orgfinra.org

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