Nex Systems
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CHRISTOPHER LAWRENCE WACKER

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

    07/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041510201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Lawrence Wacker, Respondent General Securities Representative CRD No. 3028507 Pursuant to FINRA Rule 921 6 of FINRA's Code of Procedure, I, Christopher Lawrence Wacker ("Wacker"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2014041510201data-portal.finra.orgfinra.org

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