Nex Systems
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Charles L. Doraine

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

    04/27/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059323201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles L. Doraine, Respondent General Securities Representative CRD No. 70411 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Charles L. Doraine ("Doraine" 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 2018059323201data-portal.finra.orgfinra.org

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