Nex Systems
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CLAUDE E. CRUMP

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

    09/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003350801 TO: Department of Enforcement NASD RE: Claude E. Crump, Respondent CRD No. 1619470 Pursuant to Rule 9216 of NASD Code of Procedure, 1 submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2005003350801data-portal.finra.orgfinra.org

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