Nex Systems
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GERALD MARTIN

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

    05/30/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401410001 TO: Department of Enforcement NASD RE: Gerald Martin Registered Representative CRD No. 1315411 Pursuant to Rule 9216 of NASD Code of Procedure, I, Gerald Martin, submit this Letter of Acceptance, Waiver and Consent CAWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

    Reference EAF0401410001data-portal.finra.orgfinra.org

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