Nex Systems
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ALFRED BLAIR BLAIKIE III

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

    06/11/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.# 20050005805-01 TO: Department of Enforcement NASD RE: Alfred Blair Blaikie III ("Blaikie") (CRD No.2466528) Pursuant to Rule 9216 of NASD Code of Procedure, Alfred Blair Blaikie III ("Blaikie") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2005000580501data-portal.finra.orgfinra.org

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