Nex Systems
Type not stated

HENRY NGUYEN

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

    05/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036054002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Henry Nguyen, Respondent Registered Representative 5815024 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Henry Nguyen, 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 on the condition that,

    Reference 2013036054002data-portal.finra.orgfinra.org

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