Nex Systems
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Charles Henry Postel

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

    03/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057286801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Henry Postel, Respondent CRD No. 1478786 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Charles Henry Postel (“Postel” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018057286801data-portal.finra.orgfinra.org

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