Nex Systems
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Jerry M. Wells

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

    12/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050018101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerry M. Wells, Respondent General Securities Representative, Investment Company and Variale Contracts Products CRD No. 1015358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jerry M. Wells submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2016050018101data-portal.finra.orgfinra.org

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