Nex Systems
Type not stated

Christian Thomas Holmes

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/25/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022076303801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Thomas Holmes (Respondent) Former General Securities Representative CRD No. 6810142 Pursuant to FINRA Rule 9216, Respondent Christian Thomas Holmes submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2022076303801finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.