Nex Systems
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Jacob Pae

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

    11/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075705601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jacob Pae (Respondent) Former General Securities Representative CRD No. 7059044 Pursuant to FINRA Rule 9216, Respondent Jacob Pae submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2022075705601data-portal.finra.orgfinra.org

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