Nex Systems
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CONRAD M. LAWRENCE

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

    04/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. CONRAD M. LAWRENCE, CRD No. 4467366, Respondent. Disciplinary Proceeding No. 20090190422 Hearing Officer M.A. Delaney ORDER ACCEPTING OFFER OF SETTLEMENT Date: INTRODUCTION Disciplinary Proceeding No. 20090190422 was filed on September 22, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Conrad M. Lawrence ("Respondent")

    09/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CONRAD M. LAWRENCE, (CRD 4467366) RESPONDENT. DISCIPLINARY PROCEEDING No. 20090190422 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In December 2006, Respondent sold an installment plan contract issued by National Foundation of America ("NFOA") to a customer without first providing written notice to and receiving written approval from his member firm employer. The installment

    Reference 2009019042201data-portal.finra.orgfinra.orgdata-portal.finra.org

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