Nex Systems
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CHARLES MITCHELL MCINNIS

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

    04/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038002602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Mitchell McInnis, Respondent General Securities Principal ("GP") CRD No. 1321666 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Charles Mitchell McInnis, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013038002602data-portal.finra.orgfinra.org

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