Nex Systems
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Jerry Rice

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

    09/17/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2019064312901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jerry Rice (Respondent) Former General Securities Representative CRD No. 375290 Pursuant to FINRA Rule 9216, Respondent Jerry Rice 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,

    Reference 2019064312901finra.orgdata-portal.finra.org

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