Nex Systems
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Charles Lee Deremo

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

    01/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038424401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE Charles Lee Deremo, Respondent Registered Representative CRD No. 713036 and Cadaret Grant & Co., Inc., Respondent FINRA Member Firm CRD No. 10641 Pursuant to FINRA Rule 9216 of FINRA s Code of Procedure, Respondent Charles L. Deremo ("Deremo") and Respondent Cadaret Grant & Co., Inc. ("Cadaret Grant" or the

    Reference 2013038424401data-portal.finra.orgfinra.org

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