Nex Systems
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CASEY J OCONNELL

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

    04/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080155679-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Casey J. OCormell, Respondent General Securities Principal General Securities Representative Limited Representative - Investment Company and Variable Contracts Products CRD No. 3029977 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Casey J. OConnell submits this Letter of Acceptance, Waiver and Consent

    Reference 2008015567901data-portal.finra.orgfinra.org

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