Nex Systems
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EDWARD R. STERN

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

    02/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011992101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward R. Stern, Respondent CRD No. 1565355 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Edward R. Stern ("Stern" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

    Reference 2008011992101data-portal.finra.orgfinra.org

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