Nex Systems
Type not stated

FRANK STEPHEN SPARGER

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

    08/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080144265 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank Stephen Sparger, Respondent CRD No. 1877647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Frank Stephen Sparger ["Sparger" or "I"], submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2008014426501data-portal.finra.orgfinra.org

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