Nex Systems
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BRUCE D. WORKMAN

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

    04/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce D. Workman General Securities Representative and General Securities Principal (CRD No. 846702) Respondent. Disciplinary Proceeding No. 2006007106301 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 23, 2009 INTRODUCTION Disciplinary Proceeding No. 2006007106301 was filed on November 20, 2008 by the Department of Enforcement of the Financial Industry Regulatory

    Reference 2006007106301data-portal.finra.orgfinra.org

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