Nex Systems
Type not stated

DENNIS WALKER

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

    02/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038066601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Dennis Walker, Respondent CRD No. 1058338 Jonathan Timson, Respondent CRD No. 2031301 John Handy, Jr., Respondent CRD No. 1580981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013038066601data-portal.finra.orgfinra.org

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