Nex Systems
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Frederick Joseph Rock

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

    04/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063574801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frederick Joseph Rock (Respondent) Former General Securities Representative CRD No. 2548242 Pursuant to FINRA Rule 9216, Respondent Frederick Joseph Rock submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063574801data-portal.finra.orgfinra.org

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