Nex Systems
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FRED P. SAMPLE

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

    01/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031048901 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Fred P. Sample Investment Company and Variable Contracts Products Representative CRD No. 1009064 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fred P. Sample, 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

    Reference 2012031048901finra.orgdata-portal.finra.org

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