Nex Systems
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DUANE ALLEN CARR

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

    08/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVERAND CONSENT NO.2008013303601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Duane Allen Carr, Respondent General Securities Representative CRD No.2658495 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2008013303601data-portal.finra.orgfinra.org

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