Nex Systems
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EDWARD T. MCFARLANE

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

    05/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050393901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward T. McFarlane, Respondent General Securities and Investment Company/ Variable Contracts Representative CRD No. 2492335 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward T. McFarlane ("McFarlane" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2016050393901data-portal.finra.orgfinra.org

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