Nex Systems
Type not stated

ELLIOT Y. STEVENS

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

    08/01/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005694101 TO: Department of Enforcement NASD RE: Elliot Y. Stevens, Respondent General Securities Representative [CRD No. 4358373] Pursuant to Rule 9216 of NASD Code of Procedure, Elliot Y. Stevens 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 condition that, if accepted, NASD will not bring any future actions

    Reference 2006005694101data-portal.finra.orgfinra.org

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