Nex Systems
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DORA D. DONG

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

    10/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY RECEIVED LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110283975-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dora D. Dong, Respondent Investment Company Products / Variable Contracts Representative CRD No. 2542142 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver a

    Reference 2011028397501finra.orgdata-portal.finra.org

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