Nex Systems
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BRUCE N. ORR

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

    12/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007256801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bruce N. Orr, Respondent CRD No. 1708096 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent Bruce N. Orr 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

    Reference 2007007256801finra.orgdata-portal.finra.org

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