Nex Systems
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ANTHONY SCOTT WATERS

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

    05/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041900601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Anthony Scott Waters, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1189924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Anthony Scott Waters, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2014041900601data-portal.finra.orgfinra.org

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