Nex Systems
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ALEX ETTER

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

    10/14/2016: FINANCIAL 1NDUSTRY REGULATORY AUTHORITY OFF1CE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. Alex Etter [CRD No. 2981742], Richard Lim [CRD No. 4949289], and Alain Florestan [CRD No. 2818942], Respondents. DISCIPLINARY PROCEEDING NO. 2014039091903 Hearing Officer LOM Date: October 14.2016 ORDER ACCEPTING OFFER OF SETTLEMENT BY ALEX ETTER INTRODUCTION Disciplinary Proceeding No. 2014039091903 was filed on December 31, 2015, by the Department of Enforcement

    12/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. Caldwell International Securities Corp. [CRD No. 104323], Greg Caldwell [CRD No. 2816295], Lennie Freiman [CRD No. 1007506], Paul Jacobs [CRD No. 4658235], Alain Florestan [CRD No. 2818942], Alex Etter [CRD No. 2981742], Lucas Lichtman [CRD No. 5542092], Richard Lim [CRD No. 4949289], and Richard Lee [CRD No. 2768039], Respondents. DISCIPLINARY PROCEEDING NO. 2014039091903 COMPLAINT

    Reference 2014039091903data-portal.finra.orgdata-portal.finra.orgfinra.org

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