Nex Systems
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JOHN GRIFFIN WISE

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

    06/14/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004364001 TO: Department of Enforcement NASD RE: John Griffin Wise, Respondent Registered Representative CRD No. 1708281 Pursuant to Rule 9216 of NASD Code of Procedure, John Griffin Wise (Wise) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2006004364001data-portal.finra.orgfinra.org

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