Nex Systems
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FREDERICK J. KRAMER

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

    04/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021314101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Kentucky Securities Corporation, Respondent (CRD No. 7524) and Frederick J. Kramer Financial and Operations Principal (CRD No. 2299599) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First Kentucky Securities Corporation and Frederick J. Kramer (hereinafter referred to as "Respondents") submit this

    Reference 2010021314101data-portal.finra.orgfinra.org

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