Nex Systems
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JEREMY CAO

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

    02/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050021917 TO: Department of Enforcement NASD RE: Thanh Viet "Jeremy" Cao, Respondent General Securities Representative CRD No. 4830211 Pursuant to Rule 9216 of NASD Code of Procedure, I, Thanh Viet "Jeremy" Cao ("Cao"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    Reference 2005002191701data-portal.finra.orgfinra.org

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