Nex Systems
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CHRISTOPHER M. FRANK

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

    12/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018437501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher M. Frank, Respondent CRD No. 2061741 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Christopher M. Frank 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 condition

    Reference 2009018437501finra.orgdata-portal.finra.org

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