Nex Systems
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Christopher Joseph

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

    01/12/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064979001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Joseph (Respondent) Former General Securities Representative CRD No. 6841532 Pursuant to FINRA Rule 9216, Respondent Christopher Joseph submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2019064979001finra.orgdata-portal.finra.org

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