Nex Systems
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GREGORY RAWLINGS

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

    01/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070083493-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory Rawlings, Respondent CRD No, 1323337 And Liane S. Rawlings, Respondent CRD No. 2581237 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we [or Respondents] submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2007008349301data-portal.finra.orgfinra.org

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