Nex Systems
Type not stated

JOHN BRENDAN DOBBERTIN

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

    12/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036005001 TO: Department of Enforcement Financial Regulatory Authority ("FINRA") RE: John Brendan Dobbertin, Respondent , General Securities Representative CRD No. 3254308 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2013036005001data-portal.finra.orgfinra.org

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