Nex Systems
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ANDREW R. HUMER

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

    05/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004362901 TO: Department of Enforcement NASD RE: Andrew R. Humer, Respondent Investment Company and Variable Contracts Products Representative and General Securities Representative [CRD No. 2377033] Pursuant to Rule 9216 of NASD Code of Procedure, Andrew R. Humer 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

    Reference 2006004362901data-portal.finra.orgfinra.org

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