Nex Systems
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COREY M. KING

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

    12/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020709101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Corey M. King, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 5564792] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Corey M. King (hereinafter, "King" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2009020709101data-portal.finra.orgfinra.org

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