Nex Systems
Type not stated

DENNIS RAY THOMPSON JR.

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

    12/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050013986-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dennis Ray Thompson Jr., Respondent Registered Representative CRD No. 4288230 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dennis Ray Thompson Jr. ("Thompson Jr." or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2005001398603data-portal.finra.orgfinra.org

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