Nex Systems
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D. PETER TIPPING

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

    10/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: D. Peter Tipping General Securities Representative (CRD No. 2278762) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Respondent D. Peter Tipping, submit 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

    Reference 2007010925201data-portal.finra.orgfinra.org

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