Nex Systems
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ANDREW JOSEPH THOMAS

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

    07/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044822901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Andrew Joseph Thomas, Respondent CRD No. 6339047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Andrew Joseph Thomas ("Thomas" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2015044822901data-portal.finra.orgfinra.org

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