Nex Systems
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CHRISTOPHER THOMPSON

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

    02/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100241648 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Christopher Thompson CRD No. 2994785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Christopher Thompson, submit 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 that, if accepted,

    Reference 2010024164801finra.orgdata-portal.finra.org

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