Nex Systems
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CASEY W. SMITH

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

    05/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090185731 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Casey W. Smith, Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Casey W. Smith (hereinafter referred to as either "Smith" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2009018573101finra.orgdata-portal.finra.org

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