Nex Systems
Type not stated

IAN TRACY

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

    12/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019040801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ian Tracy, Respondent CRD No. 5412080 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ian Tracy ("Respondent" or "Tracy") 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 is submitted on the condition that,

    Reference 2009019040801data-portal.finra.orgfinra.org

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