Nex Systems
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Barry Robert Bode

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

    04/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061490801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Robert Bode, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1203578 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Barry Robert Bode ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061490801data-portal.finra.orgfinra.org

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