Nex Systems
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Charles L. Laubach

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

    06/20/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057298401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles L. Laubach, Respondent CRD No. 1097453 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Charles L. Laubach ("Laubach" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2018057298401data-portal.finra.orgfinra.org

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