Nex Systems
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CARLTON WILKINSON NORWOOD

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

    07/29/2015: FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040319902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlton Wilkinson Norwood, Respondent Investment Company Products/Variable Contracts Representative CRD No. 2463750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Carlton Wilkinson Norwood ("Norwood"), submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2014040319902data-portal.finra.orgfinra.org

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