Nex Systems
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CARL D. MAXWELL

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

    08/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004065701 TO: Department of Enforcement NASD RE: Carl D. Maxwell, Respondent Registered Representative CRD No. 601141 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 any future actions against me alleging violations

    Reference E8A2004065701data-portal.finra.orgfinra.org

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