Nex Systems
Type not stated

JOHN FREDERICK WINTER

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

    02/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100220253 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Frederick Winter, Respondent Not currently registered CRD No. 1321810 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, John Frederick Winter, ("Respondent" or "Winter") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2010022025301data-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.