Nex Systems
Type not stated

ERIC A. AXEL

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

    09/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC A. AXEL CRD No. 4073828, Respondent. DISCIPLINARY PROCEEDING No. 2007010889202 HEARING OFFICER - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 13, 2011 INTRODUCTION Disciplinary Proceeding No. 200701088902 was filed on November 10, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Eric A. Axel submitted an Offer of

    Reference 2007010889202data-portal.finra.orgfinra.org

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