Nex Systems
Type not stated

ELDON B. THOMA III

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003314601 TO: Department of Enforcement NASD RE: Eldon B. Thoma, III, Respondent General Securities Representative [CRD No. 4884158] Pursuant to Rule 9216 of NASD Code of Procedure, Eldon B. Thoma, III submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the

    Reference 2005003314601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.