Nex Systems
Type not stated

GLEN ANDERSON

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

    07/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035059001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rainmaker Securities, LLC, Respondent CRD No. 132995 Glen Anderson, Respondent General Securities Representative and Principal CRD No. 5030000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013035059001data-portal.finra.orgfinra.org

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