Nex Systems
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GARY MITCHELL SPITZ

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

    05/14/2013: FINANCL4L INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030787301 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Gary Mitchell Spitz General Securities Principal, General Securities Representative, Direct Participation Program Representative and Operations Professional CRD No. 1828144 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gary Mitchell Spitz (Spitz) submits this Letter of Acceptance, Waiver and Consent (AWC) for

    Reference 2012030787301finra.orgdata-portal.finra.org

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