Nex Systems
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HOMER DANIEL WINTER III

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

    05/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031823901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Homer Daniel Winter III (CRD No. 1441654), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Homer Daniel Winter III ("Winter" or "Respondent"), 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 2012031823901data-portal.finra.orgfinra.org

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