Nex Systems
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JOHN LI

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

    07/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000479801 TO: Department of Enforcement NASD RE: John Li, Respondent General Securities Representative CRD No. 2651168 Pursuant to Rule 9216 of the NASD Code of Procedure, John Li ("Li") 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 against me

    Reference 2005000479801data-portal.finra.orgfinra.org

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