Nex Systems
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JONATHAN CLARK PETERSON

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

    11/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008031802 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Jonathan Clark Peterson, Respondent CRD No. 4199364 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jonathan Clark Peterson ("Respondent" or "Peterson"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2007008031802data-portal.finra.orgfinra.org

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