Nex Systems
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DENNIS RAY ROBERTS

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

    07/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041148701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dennis Ray Roberts, Respondent General Securities Representative CRD No. 4447296 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dennis Ray Roberts, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2014041148701data-portal.finra.orgfinra.org

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