Nex Systems
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Andrew Timothy Durham

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

    11/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069433001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Andrew Timothy Durham (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6541868 Pursuant to FINRA Rule 9216, Respondent Andrew Durham submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021069433001data-portal.finra.orgfinra.org

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