Nex Systems
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CHRISTOPHER L. ANDERSON

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

    01/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Christopher L. Anderson (CRD No. 4799519) Respondent. DISCIPLINARY PROCEEDING No. 2014040182902 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February 25, 2014, and December 15, 2014, Respondent Christopher Anderson failed to timely and fully comply with two written FINRA Rule 8210 requests for information and failed to comply at all with two written FINRA Rule 8210

    06/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER L. ANDERSON, (CRD No. 4799519), Respondent Disciplinary Proceeding No. 2014040182902 Hearing Officer - KBW DEFAULT DECISION Date: June 18, 2015 Respondent failed to respond in a full and timely manner to requests for information and failed to appear for testimony in response to requests for testimony, in violation of FINRA Rules 8210 and 2010. Respondent is barred

    Reference 2014040182902data-portal.finra.orgdata-portal.finra.orgfinra.org

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