Nex Systems
Type not stated

GEORGE R. CUPPLES

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000450504 TO: Department of Enforcement NASD RE: Empire Financial Group, Inc., Respondent NASD Member CRD No. 28759 George R. Cupples Financial and Operations Principal CRD No. 4029475 Pamela C. Ohab Financial and Operations Principal CRD No. 2700308 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Empire Financial Group, George R. Cupples and Pamela C. Ohab (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent

    Reference 2005000450504data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.