Nex Systems
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Charles J. Gross

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

    01/25/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079746301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles J. Gross (Respondent) Associated Person CRD No. 2120578 Pursuant to FINRA Rule 9216, Respondent Charles J. Gross submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2023079746301data-portal.finra.orgfinra.org

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