Nex Systems
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FREDERICK JOHN BOTHMER

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

    03/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027217301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frederick John Bothmer, Respondent General Securities Representative CRD No. 1365059 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frederick John Bothmer, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2011027217301data-portal.finra.orgfinra.org

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