Nex Systems
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Andrew Robert Dougherty

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

    01/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065000301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Robert Dougherty (Respondent) Former Investment Company and Variable Contracts Product Representative CRD No. 6348064 Pursuant to FINRA Rule 9216, Respondent Andrew Robert Dougherty submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020065000301data-portal.finra.orgfinra.org

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