Nex Systems
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Cody Robert Roos

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

    09/28/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074093701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cody Robert Roos (Respondent) Former General Securities Representative CRD No. 6694181 Pursuant to FINRA Rule 9216, Respondent Cody Robert Roos submits 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 Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2022074093701data-portal.finra.orgfinra.org

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