Nex Systems
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DENNIS E. DERR

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

    02/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220020636-02 TO: Department of Enforcement NASD RE: Dennis E. Derr. Respondent General Securities Representative and Investment and Investment Company Products/Variable Contracts Representative CRD No. 1939854 Pursuant to Rule 9216 of NASD Code of Procedure, I, Dennis E. Derr ("Derr"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is

    Reference E022002063602data-portal.finra.orgfinra.org

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