Nex Systems
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GARRETT CHASE

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

    12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120321181-01 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Garrett Chase, Respondent Research Analyst CRD No. 2515964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Garrett Chase ("Chase"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2012032118101data-portal.finra.orgfinra.org

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