Nex Systems
Type not stated

BRUCE L. FLEET

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/20/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A20040156-01 TO: Department of Enforcement NASD RE: Bruce L. Fleet, Respondent Registered Representative CRD No. 1529233 Pursuant to Rule 9216 of NASD Code of Procedure, I [or Respondent] submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me

    Reference E3A2004015601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.