Nex Systems
Type not stated

DAN EVAN LANDAU

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

    11/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RON WILLIAM HOWELL (CRD No. 2895047), Respondent. Disciplinary Proceeding No. 20080138685 Hearing Officer - LBB HEARING PANEL DECISION November 22, 2011 For unregistered sales of securities, in violation of NASD Conduct Rule 2110, Respondent Ron William Howell is suspended in all capacities for three months and fined

    Reference 2008013868501finra.orgdata-portal.finra.org

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