Nex Systems
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HARRY APPEL

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

    09/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036631201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harry Appel, Respondent CRD No. 5915532 Patricia I. Bergman, Respondent CRD No. 3267615 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, we 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

    Reference 2013036631201data-portal.finra.orgfinra.org

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