Nex Systems
Type not stated

Christopher David Pollard

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

    07/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050040201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher David Pollard, Respondent General Securities Representative CRD No. 6143750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christopher David Pollard submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2016050040201data-portal.finra.orgfinra.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.