Nex Systems
Type not stated

DENNIS P. VAN PATTER

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

    11/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036647401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis P. Van Patter, Respondent General Securities Representative CRD No. 1364583 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dennis P. Van Patter, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013036647401finra.orgdata-portal.finra.org

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