Nex Systems
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FEMING CHAN

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

    06/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000523-04 TO: Department of Market Regulation NASD RE: Feming Chan, Respondent Registered Representative CRD No. 4687999 Pursuant to Rule 9216 of NASD Code of Procedure, I, Feming Chan, 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,

    Reference 2005000052304data-portal.finra.orgfinra.org

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