Nex Systems
Person

JAN E. HELEN

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

    11/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2011025505901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janco Partners, Inc., Respondent FINRA Member Finn, CRD No. 4055 Jan E. Helen, Respondent General Securities Representative and Principal, CRD No. 865530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2011025505901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042231401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jan E. Helen, Respondent CRD No. 865530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jan E. Helen ("Respondent”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2014042231401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number865530

Other names1

Also known as1

JAN ERNEST HELEN

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