Nex Systems
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Gene C. Valentine

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

    08/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042263601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Financial West Group, Respondent Member Firm CRD No. 16668 Gene C. Valentine Registered Representative CRD No. 1079871 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014042263601data-portal.finra.orgfinra.org

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