Nex Systems
Type not stated

FRANK LUMPUY

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

    06/13/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060055684 TO: Department of Enforcement NASD RE: Frank Lumpuv, Respondent General Securities Representative Investment Company and Variable Contracts Products Representative Investment Company and Variable Contracts Products Principal CRD No. 2108307 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2006005568401data-portal.finra.orgfinra.org

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