Nex Systems
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JOE KIRK

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

    11/04/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017797201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joe Kirk, Respondent Investment Company Products/Variable Contracts Representative CRD No. 2985434 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joe Kirk ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009017797201data-portal.finra.orgfinra.org

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