Nex Systems
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Christopher B. Black

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

    01/12/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066650101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher B. Black, (Respondent) Former General Securities Representative CRD No. 5049080 Pursuant to FINRA Rule 9216, Respondent Christopher B. Black submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020066650101data-portal.finra.orgfinra.org

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