Nex Systems
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EDWARD C. LIU

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

    06/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090210766 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward C. Liu (CRD No. 2190795) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward Liu ("Liu") submits 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

    Reference 2009021076601finra.orgdata-portal.finra.org

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