Nex Systems
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Doli Kumar

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

    10/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068888501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Doli Kumar (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6586313 Pursuant to FINRA Rule 9216, Respondent Doli Kumar submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020068888501data-portal.finra.orgfinra.org

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