Nex Systems
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Dickson Kai Chi Lo

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

    11/16/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048895401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Dickson Kai Chi Lo, Respondent General Securities Representative CRD No. 4283745 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I Dickson Kai Chi Lo ("Lo"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2016048895401data-portal.finra.orgfinra.org

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