Nex Systems
Person

EARNEST FLOWERS III

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. EARNEST FLOWERS III, CRD No. 2547561, RESPONDENT. Disciplinary Proceeding No. 2009016956601 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 7, 2011 INTRODUCTION Disciplinary Proceeding No. 2009016956601 was filed on January 14, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent

    01/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. EARNEST FLOWERS III (CRD No. 2547561), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2009016956601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February 2008 and December 2008, while registered with FINRA through a member firm, Respondent Earnest Flowers ("Flowers") collected at least $92,000 from seven individuals in connection with investments

    Reference 2009016956601data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2547561

Other names1

Also known as1

EARNEST FLOWERS, III

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.