Nex Systems
Type not stated

Christopher Clark

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

    02/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER CLARK (CRD No. 5938185), Respondent. Disciplinary Proceeding No. 2016048490901 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 28, 2017 INTRODUCTION Disciplinary Proceeding No. 2016048490901 was filed on January 6, 2017, and amended amended pursuant to an Amended Complaint filed January 20, 2017, by the Department of Enforcement of the Financial Industry

    Reference 2016048490901finra.orgdata-portal.finra.org

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