Nex Systems
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ERIC W. MASON

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

    04/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001741-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Eric W. Mason, Respondent Registered Representative CRD No. 4637122 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, I, Eric W. Mason, 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

    Reference 2005000174102data-portal.finra.orgfinra.org

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