Nex Systems
Type not stated

CHRIS HOWARD PIPKIN

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

    07/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E042004015901 To: Department of Enforcement NASD Re: Chris Howard Pipkin General Securities Representative and General Securities Sales Supervisor (CRD No. 4357879) Pursuant to Rule 9216 of NASD Code of Procedure, I, Chris Howard Pipkin (Pipkin), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

    Reference E042004015901data-portal.finra.orgfinra.org

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