Nex Systems
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CHARLES DONALD HARKINS

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

    12/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019094002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Donald Harkins, Respondent General Securities Representative CRD No. 2816849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Donald Harkins ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2009019094002data-portal.finra.orgfinra.org

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