Nex Systems
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CLINTON LEWIS

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

    09/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016863001 To: Department of Enforcement FINRA Re: Clinton Lewis General Securities Representative, General Securities Principal, Equities Trader, Investment Banking Representative, Municipal Securities Principal and Options Principal CRD No. 2471102 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Clinton J. Lewis, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of

    Reference 2009016863001data-portal.finra.orgfinra.org

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