Nex Systems
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ADAM G. MEISTER

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

    11/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam G. Meister [CRD No. 4354400], Respondent. DISCIPLINARY PROCEEDING No. 2007011919001 HEARING OFFICER: AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY Adam G. Meister participated in the placement of an $18,000 investment by customer DD in ACE Enterprise of Augusta Georgia, Inc. without notice to or approval from his employer firm. Meister recommended

    11/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam G. Meister [CRD No. 4354400], Respondent. DISCIPLINARY PROCEEDING NO.2007011919001 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY Adam G. Meister participated in the placement of an $18,000 investment by customer DD in ACE Enterprise of Augusta Georgia, Inc. without notice to or approval from his employer firm.

    Reference 2007011919001data-portal.finra.orgfinra.orgdata-portal.finra.org

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