Nex Systems
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FLYNN LAMBERT ANDREW

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

    05/21/2007: NASD LETTER OF ACCEPTACCEPTANCE, WAIVER NO. E0420040369 To: Department of Enforcement NASD Re: Flynn Lambert Andrew Investment Company/Variable Contract Products Principal (CRD No. 2748728) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Flynn Lambert Andrew, 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, if accepted, NASD will not bring any

    Reference E042004036905data-portal.finra.orgfinra.org

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