Nex Systems
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Cecil Allen Ross

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

    12/18/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042621701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cecil Allen Ross, Respondent Registered Representative CRD No. 2391047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cecil Allen Ross submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014042621701data-portal.finra.orgfinra.org

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