Nex Systems
Type not stated

ALPHONSUS M. SOMMERS 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

    11/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004036801 TO: Department of Enforcement NASD RE: Alphonsus M. Sommers, III, Respondent General Securities Representative [CRD No. 4385866] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent 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

    Reference E062004036801data-portal.finra.orgfinra.org

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