Nex Systems
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EARL WILLIAM FAY

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

    04/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034068501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Earl William Fay (CRD No. 2492793), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Earl William Fay ("Fay" 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 submitted on

    Reference 2012034068501data-portal.finra.orgfinra.org

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