Nex Systems
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FRANCIS T. DUFFY

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

    12/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080132876-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Francis T. Duffy, Respondent Financial and Operations Principal CRD No. 500206 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Francis T. Duffy ("Duffy" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2008013287601data-portal.finra.orgfinra.org

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