Nex Systems
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ERIK CARL PETERSON

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

    06/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") NO. 2008014435301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Erik Carl Peterson, Respondent General Securities Representative ("GS") and Principal ("GP") Investment Company & Variable Contracts Products Representative ("IR" CRD No. 3092724 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2008014435301data-portal.finra.orgfinra.org

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