Nex Systems
Person

STEPHEN COLLEY HARRIS

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

    11/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complaint, v. Stephen Colley Harris (CRD No. 4016919), Respondent. DISCIPLINARY PROCEEDING NO. 2007010303601 Hearing Officer LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 3, 2008 INTRODUCTION Disciplinary Proceeding No. 2007010303601 was filed on August 18, 2008 by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Stephen Colley Harris

    Reference 2007010303601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4016919

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