Nex Systems
Type not stated

ANTHONY CHANG

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

    07/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Century Pacific Securities Inc. CRD No. 113698 Asa Williams CRD No. 2233649 and Shuming Chang CRD No. 2109185, Respondents. Disciplinary Proceeding No. 20080142714-01 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 8, 2011 INTRODUCTION Disciplinary Proceeding No. 20080142714-01 was filed on July 23,2010, by the Department of Enforcement of the Financial Industry

    Reference 2008014271401data-portal.finra.orgfinra.org

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