Nex Systems
Type not stated

DOUGLAS EDWARD LONER

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

    11/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004078501 TO: Department of Enforcement NASD RE: Douglas Edward Loner, Respondent General Securities Representative and Investment Company and Variable Contracts Products Limited Representative (CRD No. 1648730) Pursuant to Rule 9216 of NASD Code of Procedure, Douglas Edward Loner ("Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II

    Reference E8A2004078501data-portal.finra.orgfinra.org

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