Nex Systems
Person

Sean William Killoran

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

    06/21/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sean William Killoran (CRD No. 4591890), Respondent. DISCIPLINARY PROCEEDING NO. 20160491970-01 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. In 2016, Enforcement opened an investigation into the potential

    11/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. SEAN WILLIAM KILLORAN (CRD No. 4591890), Respondent. Disciplinary Proceeding No. 20160491970-01 Hearing Officer-RES DEFAULT DECISION November 9, 2018 For failure to appear for on-the-record testimony, Respondent is barred from associating with any FINRA member firm in any capacity.

    Reference 2016049197001data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4591890

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