Nex Systems
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JONATHAN FREEZE

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

    08/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052701401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathan Freeze, Respondent CRD No. 2642023 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, 1, Jonathan Freeze, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

    Reference 2017052701401data-portal.finra.orgfinra.org

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