Nex Systems
Type not stated

Daniel J. Niemi

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

    06/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044251501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel J. Niemi, Respondent CRD No. 1763247 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daniel J. Niemi ("Respondent" or "Niemi") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015044251501data-portal.finra.orgfinra.org

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