Nex Systems
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BERNARD KIESEL

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

    04/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037303701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Orion Trading, LLC FINRA Member CRD No. 43932 Bernard Kiesel Registered Representative CRD No. 2193004 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 violations described

    Reference 2013037303701data-portal.finra.orgfinra.org

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