Nex Systems
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ERIC S. SPRINGER

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

    04/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038505301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric S. Springer, Respondent Registered Representative CRD No. 1627822 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Eric Springer, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2013038505301data-portal.finra.orgfinra.org

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