Nex Systems
Type not stated

Christopher Michael Dowden

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/24/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055821401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Robert L. Harger, Jr., Respondent General Securities Representative, General Securities Principal, Municipal Securities Representative, Municipal Securities Principal, and Operations Professional CRD No. 863069 Christopher Michael Dowden, Respondent Financial and Operations Principal, General Securities Representative,

    Reference 2017055821401finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.