Nex Systems
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DOUGLAS EVAN GREENBERG

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

    03/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027368802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Douglas Evan Greenberg (CRD No. 2298830) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Douglas Evan Greenberg ("Greenberg" or "Respondent"), submit 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

    Reference 2011027368802finra.orgdata-portal.finra.org

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