Nex Systems
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GREGORY VAN WINKLE

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

    06/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038209301 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Gregory Van Winkle General Securities Principlel CRD No. 1056407 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2013038209301finra.orgdata-portal.finra.org

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