Nex Systems
Person

JONATHAN A FRANCIS

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

    01/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHOR1TY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JONATHAN A. FRANCIS (CRD No. 5204602), Respondent. Disciplinary Proceeding No. 2013038988301 Hearing Officer - KBW, DEFAULT DECISION January 28,2015 Respondent is barred from associating with any FINRA member firm in any capacity for issuing unauthorized ATM cards as part of a scheme to convert funds from bank customers' accounts, in violation of FINRA Rule 2010, and failing

    09/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, V. DISCIPLINARY PROCEEDING No. 2013038988301 Jonathan A. Francis (CRD No. 5204602), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jonathan A. Francis ("Francis") aided and abetted third parties who converted approximately $210,000 from bank customers' accounts. nuring the course ofhis employment with a bank affiliate of a FINRA member, Francis issued eight

    Reference 2013038988301data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5204602

Other names1

Also known as1

JONATHAN A. FRANCIS

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