Nex Systems
Type not stated

HENRY FARNUM THOMPSON JR.

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

    06/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260227_ TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Henry Farnum Thompson Jr., Respondent CRD No. 2577992 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Henry Farnum Thompson Jr. ("Thompson" or "Respondent"), submits 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 2011026022701data-portal.finra.orgfinra.org

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