Nex Systems
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Clearview Trading Advisors Inc.

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

    11/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064126802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clearview Trading Advisors, Inc. (Respondent) Member Firm CRD No. 142873 Gregg H. Ettin (Respondent) Compliance Officer and General Securities Principal CRD No. 1604260 Pursuant to FINRA Rule 9216, Respondents Clearview Trading Advisors, Inc. and Gregg H. Ettin (collectively, Respondents) 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, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

    Reference 2019064126802data-portal.finra.orgfinra.org

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