Nex Systems
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ANDREW R. WILDEROTTER

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

    06/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006850101 TO: Department of Enforcement NASD RE: Andrew R. Wilderotter, Respondent Investment Company/Variable Products Representative CRD No. 4832201 Pursuant to Rule 9216 of NASD Code of Procedure, I Andrew R. Wilderotter, 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

    Reference 2006006850101data-portal.finra.orgfinra.org

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