Nex Systems
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JIA CAI LEWIN

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

    01/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033813601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Jia Cai Lewin, Respondent Registered Representative CRD No. 4357677 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jia Cai Lewin, submit 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

    Reference 2012033813601finra.orgdata-portal.finra.org

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