Nex Systems
Person

PHILLIP E. JOHNSON JR.

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

    01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PHILLIP E. JOHNSON, JR. (CRD No. 4808529), Respondent. Disciplinary Proceeding No. 2010024221401 Hearing Officer-LBB DEFAULT DECISION Date: January 15, 2013 Respondent Phillip E. Johnson, Jr. is barred from associating with any FINRA member firm in any capacity for failing to appear and testify at an on-the-record interview, in violation of FINRA Rules 8210 and 2010. Appearances

    Reference 2010024221401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4808529

Other names1

Also known as1

PHILLIP EARL JOHNSON, JR.

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