Nex Systems
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HEIKO HELMUT THIEME

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

    11/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004040401 TO: Department of Enforcement NASD RE: Thieme Securities. Inc., Respondent [CRD No. 38286] Heiko Helmut Thieme, Respondent [CRD NO. 82B825] Pursuant to Rule 9216 of NASD Code of Procedure, Thieme Securities, Inc. ("Thieme Securities") and Heiko Helmut Thieme ("Heiko Thieme") (collectively "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference E102004040401data-portal.finra.orgfinra.org

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