Nex Systems
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ERIC CARLIN HOWIE

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

    06/28/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002880701 TO: Department of Enforcement NASD RE: Eric Carlin Howie, Respondent CRD No. 4328428 Pursuant to Rule 9216 of NASD Code of Procedure, I submit 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 against me alleging violations based on the

    Reference 2005002880701data-portal.finra.orgfinra.org

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