Nex Systems
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CHARLES E. FLEMING

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

    01/12/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050010765 TO: Department of Enforcement NASD RE: Charles E. Fleming, Respondent General Securities Representative [CRD No. 1447158] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") tor the purpose of proposing a settlement of the alleged rule violation described in

    Reference 2005001076502data-portal.finra.orgfinra.org

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