Nex Systems
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Bradley Ross Thompson

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

    01/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050334101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bradley Ross Thompson, Respondent Registered Representative CRD No. 3233338 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bradley Ross Thompson ("Respondent" or "Thompson") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2016050334101finra.orgdata-portal.finra.org

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