Nex Systems
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DICKSON V. LEE

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

    02/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3B2004020501 TO: Department of Enforcement NASD RE: and Dickson V. Lee. Respondent General Securities Principal CRD No. 1612056 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

    Reference E3B2004020501data-portal.finra.orgfinra.org

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