Nex Systems
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Bruce K. Lee

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

    10/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058422801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bruce K. Lee, Respondent CRD No. 1464745 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bruce K. Lee ("Lee") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018058422801data-portal.finra.orgfinra.org

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