Nex Systems
Type not stated

Glenn P. Rafferzeder

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

    07/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033901402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Glenn P. Rafferzeder, Respondent CRD No. 2215047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Glenn Philip Rafferzeder ("Respondent" or "Rafferzeder") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2012033901402data-portal.finra.orgfinra.org

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