Nex Systems
Type not stated

CHARLES W. KERN III

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

    11/01/2012: 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 Hearing Officer: MAD AMENDED ORDER ACCEPTING OFFER OF SETTLEMENT AS TO RESPONDENT KERN Date: November 1, 2012 INTRODUCTION Disciplinary Proceeding No. 2010023367001 was filed on February 27, 2012, by the Department of Enforcement of the Financial Industry Regulatory

    Reference 2010023367001data-portal.finra.orgfinra.org

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