Peyton Nelson Jackson

08/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PEYTON NELSON JACKSON (CRD No. 1988387), Respondent. Disciplinary Proceeding No. 2016049252901 Hearing Officer-KBW DEFAULT DECISION August 30, 2017 Respondent is barred from associating with any FINRA member fim in any capacity for failing to comply with multiple Rule 8210 requests. For the Complainant: Jackie A. Wells, Esq., Andrew Beirne, Esq., and Lara C. Thyagarajan, Esq.,

04/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Peyton Nelson Jackson (CRD No. 1988387), DISCIPLINARY PROCEEDING No. 2016049252901 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2015 and 2016, several former customers of Peyton Nelson Jackson ("Jackson" or "Respondent") filed Statements of Claim against Jackson and Jackson's former employing member finns, alleging, among other charges, unsuitable sales, fraud,

Reference 2016049252901data-portal.finra.orgdata-portal.finra.orgfinra.org

04/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032095801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Peyton Nelson Jackson, Respondent CRD No. 1988387 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Peyton Nelson Jackson ("Jackson"), 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

Reference 2012032095801data-portal.finra.orgfinra.org