Nex Systems
Type not stated

BARRY LASS

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

    03/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090198598 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Lass Securities, Respondent CRD No. 2029; Barry Lass, Respondent Owner, President and Chief Compliance Officer CRD No. 303177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2009019859801data-portal.finra.orgfinra.org

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