Nex Systems
Type not stated

BRUCE P. KNOPP

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

    08/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT No. 2005000119301 TO: Department of Enforcement NASD RE: Bruce F. Knopp, Respondent Registered Representative CRD No. 272570 Pursuant to Rule 9216 of NASD Code of Procedure, I 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

    Reference 2005000119301data-portal.finra.orgfinra.org

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