Nex Systems
Type not stated

Carlton Jerome Dick

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

    08/28/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056381601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlton Jerome Dick, Respondent General Securities Representative and Operations Principal CRD No. 5639545 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Carlton Jerome Dick ("Dick" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2017056381601data-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.