Nex Systems
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John Thomas Oates Jr.

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

    10/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036612701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Thomas Oates Jr. (CRD No. 2977498) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Thomas Oates Jr. ("Oates" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013036612701data-portal.finra.orgfinra.org

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