Nex Systems
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Guy Stanley Waltman

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

    02/15/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050191701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Guy Stanley Waltman, Respondent CRD No. 1540766 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Guy Stanley Waltman ("Waltman" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2016050191701data-portal.finra.orgfinra.org

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