Nex Systems
Person

Gary Francis Harpe

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

    04/26/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2023077591501 Department of Enforcement, Complainant, v. Gary Francis Harpe, CRD No. 2983634, Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY Respondent Gary Francis Harpe failed to respond to three FINRA requests for information and documents made pursuant to FINRA Rule 8210 and in connection with FINRA’s investigation into the circumstances surrounding Harpe’s termination from his FINRA member firm.

    09/12/2024:

    Reference 2023077591501data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2983634

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