Nex Systems
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GEORGE LEMUEL DIVEL III

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

    03/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049785701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE. George Lemuel Divel III (CRD No. 3102446), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of procedure, I, George Lemuel Divel III ("Divel" or "Respondent"), submit this letter of Acceptance, Waiver and Consent ("AWC") for thc purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2016049785701finra.orgdata-portal.finra.org

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