Nex Systems
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CHRISTOPHER JAMES CONROY

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

    11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047589801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher James Conroy, Respondent General Securities Representative CRD No. 1481945 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christopher James Conroy ("Conroy" or the "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015047589801data-portal.finra.orgfinra.org

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