Nex Systems
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Bradley Thomas Wastler

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

    08/03/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072406601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bradley Thomas Wastler (Respondent) Former General Securities Principal and Representative CRD No. 868378 Pursuant to FINRA Rule 9216, Respondent Bradley Thomas Wastler submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2021072406601data-portal.finra.orgfinra.org

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