Nex Systems
Type not stated

EDGAR D. MOCK III

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

    01/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016258201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edgar D. Mock, III, Respondent Investment Company and Variable Contracts Products General Securities Principal and Representative Financial and Operations Principal CRD No. 1309680 pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of

    Reference 2009016258201data-portal.finra.orgfinra.org

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