Nex Systems
Type not stated

John Alexander Wallin

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070208701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SprinkleBrokerage, Inc. (Respondent) Member Firm CRD No. 285216 John Alexander Wallin (Respondent) General Securities Principal and General Securities Representative CRD No. 6000899 Pursuant to FINRA Rule 9216, Respondents SprinkleBrokerage, Inc. and John Alexander Wallin 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 on the condition that, if accepted, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

    Reference 2021070208701data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.