Nex Systems
Type not stated

CARL VAN DER MERWE

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

    01/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0301180001 TO: Department of Enforcement NASD RE: Carl Van der Merwe, Respondent Municipal Securities Principal, Municipal Securities Representative & Corporate Securities Representative CRD No. 2561896 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

    Reference EAF0301180001data-portal.finra.orgfinra.org

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