Nex Systems
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ADRIAN S. LAUER

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

    07/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040478101 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Adrian S. Lauer, Respondent Former Registered Representative CRD No. 4204673 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 the alleged rule violations described below. This AWC is submitted

    Reference 2014040478101data-portal.finra.orgfinra.org

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