Nex Systems
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Alfred Schefer

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

    03/21/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER,AND CONSENT NO.2023079717301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alfred Schefer (Respondent) Investment Company and Variable Contracts Products Representative and Direct Participation Programs Representative CRD No. 1809353 Pursuant to FINRA Rule 9216, Respondent Alfred Schefer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2023079717301data-portal.finra.orgfinra.org

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