Nex Systems
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DENNIS C. LEE

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

    01/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044444901 TO: Department of Enforcemenr Financial Industry Regulatory Authority ("FINRA") RE: Dennis C. Lee Former Registered Representative CRD No. 2339083 Pursuant to FINRARule 9216 of FINRA's Code of Procedure, I, Dennis Lee ("Lee" or "Respondent") 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

    Reference 2015044444901data-portal.finra.orgfinra.org

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