Nex Systems
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CHRISTOPHER FREDERIC VEALE

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

    08/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER FREDERIC VEALE CRD No. 2536489, Respondent. Disciplinary Proceeding No. 2015044099801 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 18, 2015 INTRODUCTION Disciplinary Proceeding No. 2015044099801 was filed on April 29, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Frederic Veale (CRD No. 2536489), Respondent. DISCIPLINARY PROCEEDING No. 2015044099801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2015, in connection with an examination concerning potential violations of FINRA's rule by Respondent Christopher Frederic Veale, FINRA sent Veale letters requesting, pursuant to FINRA Rule 8210

    Reference 2015044099801data-portal.finra.orgdata-portal.finra.orgfinra.org

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