Nex Systems
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JOHN T. CARTER II

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

    05/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050035-AWC TO: Department of Enforcement NASD RE: John T. Carter, H, Respondent General Securities Representative [CRD No. 2619913] Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference C07050035data-portal.finra.orgfinra.org

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