Nex Systems
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Daren Marc Faller

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

    09/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORrIY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047261001 TO: Department of Enforcement Financial Indusbry Regulatory Authority ('?FINRA") RE: Daren Marc Faller, Respondent General Securities Representative CRD No. 3150253 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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

    Reference 2015047261001finra.orgdata-portal.finra.org

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