Nex Systems
Type not stated

SHOPOFF SECURITIES, INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/10/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shopoff Securities, Inc. (CRD No. 142866), William A. Shopoff (CRD No. 1273471), and Stephen R. Shopoff (CRD No. 5276325), Respondents. DISCIPLINARY PROCEEDING NO. 2016048393501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In or about December 2010 through March 2017 (the "Notes Period"), Shopoff Securities, Inc.

    Reference 2016048393501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHOPOFF SECURITIES, INC. (CRD No. 142866), WILLIAM A. SHOPOFF (CRD No. 1273471), and STEPHEN R. SHOPOFF (CRD No. 5276325), Respondents. Disciplinary Proceeding No. 2016048393501 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 21, 2020 The Department of Enforcement did not prove by a preponderance of the evidence that Respondents engaged in fraudulent sales of securities or made

    Reference 2016048393501data-portal.finra.orgfinra.org

Other names1

Also known as1

Shopoff Securities Inc.

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