Nex Systems
Type not stated

GEORGE R. REGISTER

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

    03/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. REGISTER FINANCIAL ASSOCIATES, INC. (CRD# 30568); and GEORGE R. REGISTER (CRD#373031), RESPONDENTS DISCIPLINARY PROCEEDING NO. 2007011496203 HEARING OFFICER - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 10, 2010 INTRODUCTION Disciplinary Proceeding No. 2007011496203 was filed on June 30, 2009, by the Department of Enforcement of the Financial Industry Regulatory

    Reference 2007011496203data-portal.finra.orgfinra.org

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