Nex Systems
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ANDREW SHUBERT

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

    02/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006784201 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Andrew Shubert Registered Representative CRD No. 1457528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Andrew Shubert ("Shubert") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing settlement of the alleged

    Reference 2006006784201data-portal.finra.orgfinra.org

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