Nex Systems
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Ivan Shore

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

    11/06/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ivan Shore, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 1012943 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ivan Shore submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018057247001data-portal.finra.orgfinra.org

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