Nex Systems
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GERARD L. KELLS II

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

    06/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003581901 TO: Department of Enforcement NASD RE: Gerard L. Kells II, Respondent CRD No. 1465055 Pursuant to Rule 9216 of NASD Code of Procedure, Gerard L. Kells II ("Kells"), submits this Letter of Acceptance, Waiver and Consent ("AWC") 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 2005003581901data-portal.finra.orgfinra.org

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