Nex Systems
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CHARLES W. KERN

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

    02/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles W. Kern, III (CRD No. 2404048), and Thomas K. Haskins (CRD No. 4923808), Respondents. DISCIPLINARY PROCEEDING No. 2010023367001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Charles W. Kern, III and Thomas K. Haskins made unsuitable recommendations and material misrepresentations or omissions regarding options investments in the S&P 500 Euro Index. In addition, Kern

    Reference 2010023367001data-portal.finra.orgfinra.org

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