Nex Systems
Person

JEFFREY HUNTER SMITH

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

    09/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044363701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Jeffrey Hunter Smith, Respondent General Securities Representative (CRD No. 4505078) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jeffrey Hunter Smith ("Smith"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015044363701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4505078

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