Nex Systems
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Frank H. Kelly

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

    05/30/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051149101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank H. Kelly, Respondent CRD No. 2028226 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank H. Kelly ("Kelly" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2016051149101data-portal.finra.orgfinra.org

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