Nex Systems
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Christopher Nelson

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

    03/24/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065627301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Nelson (Respondent) Former General Securities Representative CRD No. 6674139 Pursuant to FINRA Rule 9216, Respondent Christopher Nelson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020065627301data-portal.finra.orgfinra.org

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