Nex Systems
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GARY EARL EVANS

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

    12/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001720501 TO: Department of Enforcement NASD RE: Gary Earl Evans General Securities Sales Supervisor CRD No. 1148015 Pursuant to Rule 9216 of NASD Code of Procedure, Gary Earl Evans (hereinafter referred to as "Evans" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below

    Reference 2005001720501data-portal.finra.orgfinra.org

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