Nex Systems
Person

JEFFREY LYNN SMITH

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

    04/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06050005 TO: Department of Enforcement NASD RE: Jeffrey Lynn Smith, Respondent Associated Person CRD No. 4783827 Pursuant to Rule 9216 of NASD Code of Procedure, Jeffery Lynn Smith ("Smith" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted

    Reference C06050005data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4783827

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