Nex Systems
Person

KENT GEORGE LEHMAN

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

    03/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS, DEPARTMENT OF ENFORCEMENT, Complainant, v. KENT LEHMAN (CRD No. 5071373), Respondent. Disciplinary Proceeding No. 2011029916501 Hearing Officer - LOM DEFAULT DECISION March 4, 2014 Respondent violated NASD Conduct Rules 2370 and 2110, and FINRA Rule 2010, when he borrowed money from a customer, contrary to the dictates of NASD Conduct Rule 2370 and the policies and procedures of the FINRA member firm that employed him (First Cause

    Reference 2011029916501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5071373

Other names1

Also known as1

KENT LEHMAN

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