Nex Systems
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Christopher John Shaw

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

    11/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067955001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher John Shaw (Respondent) General Securities Representative CRD No, 5011382 Pursuant to FINRA Rule 9216, Respondent Christopher John Shaw submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020067955001data-portal.finra.orgfinra.org

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