Nex Systems
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CHRISTOPHER J. CARTER

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

    04/18/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20950033412 TO: Department of Enforcement RE: Christopher J. Carter, Respondent CRD No. 3024493 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2005003341201data-portal.finra.orgfinra.org

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