Nex Systems
Type not stated

DEREK PRATER

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2014040437101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Derek Prater, Respondent General Securities Representative CRD No. 4063564 Pursuant to FINRA Rute 9216 of FINRA's Code of Procedure, I, Derek Prater ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations, described below. This AWC

    Reference 2014040437101data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.