Nex Systems
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BENJAMIN JAMES WALSTROM

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

    09/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034064801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Benjamin James Walstrom, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5537305 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Benjamin James Walstrom ("Walstrom"), submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement

    Reference 2012034064801finra.orgdata-portal.finra.org

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