Nex Systems
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CHARLES MICHAEL RONSON

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

    07/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094512 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Michael Ronson, Respondent Registered Representative CRD No. 1667081 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Charles Michael Ronson ("Ronson" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2007009451201data-portal.finra.orgfinra.org

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