Nex Systems
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CURTIS C. RANDEL EL

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

    02/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043660101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Curtis C. Randle El, Respondent General Securities Representative CRD No. 4877870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Curtis C. Randle El ("Randle El" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014043660101data-portal.finra.orgfinra.org

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