Nex Systems
Type not stated

ANTHONY J. JOHNSON

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

    09/14/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. ANTHONY J. JOHNSON (CRD No. 2511827), Respondent. Disciplinary Proceeding No. CMS040165 AMENDED DEFAULT DECISION 1 Hearing Officer - SNB September 14, 2006 Respondent is barred from associating with any NASD member in any capacity for engaging in fraudulent sales practices, in violation of Section 10(b) of the Exchange Act and Rule lOb-5 thereunder, and NASD Rules 2110 and 2120, failure to comply with SEC penny stock

    Reference CMS040165data-portal.finra.orgfinra.org

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