Nex Systems
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CARY L. OLSON

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0120040219-01 TO: Department of Enforcement NASD RE: Cary L. Olson, Respondent CRD No. 2435229 Pursuant to Rule 9216 of NASD Code of Procedure, I [or Respondent] 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 based on

    Reference E012004021901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030670602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cary L. Olson, Respondent General Securities Principal Registered Options Principal General Securities Representative Operations Professional CRD No. 2435229 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (AWC)

    Reference 2012030670602data-portal.finra.orgfinra.org

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