Nex Systems
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GRANT ALLEN HOWES

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

    11/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120334160-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Grant Allen Howes, Respondent General Securities Representative CRD No. 4051468 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012033416001data-portal.finra.orgfinra.org

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