Nex Systems
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ANDREW BARRETT VAUGHEY

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

    04/06/2005: NASD Department of Enforcement, Complainant, v. Andrew Barrett Vaughey, CRD No. 2453108 Respondent. Disciplinary Proceeding No. C3B050004 Hearing Officer: AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 6, 2005 INTRODUCTION Disciplinary Proceeding No. C3B050004 was filed on February 3, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Andrew Barrett Vaughey submitted an Offer of Settlement ("Offer") to Complainant on March 21, 2005. Pursuant to Code of Procedure Rule 9270(e),

    02/03/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew Barrett Vaughey, CRD No. 2453108 Respondent. Disciplinary Proceeding No. C3B050004 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Andrew Barrett Vaughey ("Vaughey") was initially associated with a member of NASD in January 1994. He became registered as a General Securities Representative in January 1995. From on or about April 17, 2000, until on or about May 10, 2002, he

    Reference C3B050004finra.orgdata-portal.finra.orgdata-portal.finra.org

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