Nex Systems
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Ivanhoe Vincent Ffriend

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

    10/14/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021072533901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ivanhoe Vincent Ffriend (Respondent) General Securities Representative CRDNo. 1013083 Pursuant to FINRA Rule 9216, Respondent Ivanhoe Vincent Ffriend 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, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2021072533901data-portal.finra.orgfinra.org

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