Nex Systems
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DOUGLAS FRANKLIN CONROD

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

    05/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009440701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Douglas Franklin Conrod General Securities Representative CRD No. 2457046 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Douglas Franklin Conrod, 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 2007009440701finra.orgdata-portal.finra.org

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