Nex Systems
Type not stated

Howard Bernstein

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

    10/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENTNO. 2013034982602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Howard Bernstein, Respondent General Securities Principal Research Principal CRD No. 2834086 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013034982602data-portal.finra.orgfinra.org

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