Nex Systems
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ALEXANDER S. MUNDIN

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

    04/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE4050003 TO: Department of Enforcement NASD RE: Alexander S. Mundin, CRD No. 2709187 Gregory D. Suskind, CRD No. 3056711 Respondents Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Alexander S. Mundin ("Mundin") and Gregory D. Suskind ("Suskind") (referred to as "Respondent" or "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II

    Reference CE4050003data-portal.finra.orgfinra.org

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