Nex Systems
Type not stated

DENNIS TUBBERGEN

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

    11/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011559701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: USA Advanced Planners, Inc., Respondent Broker-Dealer CRD No. 131282 Michael Rodman, Respondent General Securities Principal CRD No. 1260483 Dennis Tubbergen, Respondent General Securities Principal CRD No. 2505625 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, USA Advanced Planners, Inc. Michael

    Reference 2007011559701data-portal.finra.orgfinra.org

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