Nex Systems
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DONALD LEE BERGERON

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

    07/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051447001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Donald Lee Bergeron, Respondent General Securities Representative CRD No. 2653896 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Donald Lee Bergeron submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2016051447001data-portal.finra.orgfinra.org

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