Nex Systems
Type not stated

John Christopher Oldham

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

    04/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046203101 TO: Department ofEnforcement Financial Industry Regulatory Authority ("FINRA") RE: John Christopher Oldham, Respondent Former General Securities Representative and Investment Company Products/Variable Contracts Representative CRD No. 4621277 Pursuant to FINRARule 9216 ofFINRA's Code ofProcedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose ofproposing a settlement

    Reference 2015046203101data-portal.finra.orgfinra.org

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