Nex Systems
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Douglas Edward Szempruch

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

    07/09/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054317401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas Edward Szempruch (Respondent) Former General Securities Representative CRD No. 4159318 Pursuant to FINRA Rule 9216, Respondent Douglas Edward Szempruch submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2017054317401data-portal.finra.orgfinra.org

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