Nex Systems
Type not stated

FITZHUGH L. DUGGAN III

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

    01/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034112401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fitzhugh L. Duggan, III (CRD No. 2390155), General Securities Representative and General Securities Principal Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fitzhugh L. Duggan, III ("Duggan" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2012034112401data-portal.finra.orgfinra.org

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