Nex Systems
Type not stated

ASA SAINT CLAIR

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Asa Saint Clair (CRD No. 2233649), Respondent. DISCIPLINARY PROCEEDING No. 2012034345101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Asa Saint Clair ("Saint Clair") conducted a securities business while suspended in all capacities. RESPONDENT AND JURISDICTION 2. Saint Clair entered the securities industry in April 1992, when he became associated with a FINRA

    07/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Asa Saint Clair (CRD No. 2233649), Respondent. DISCIPLINARY PROCEEDING No. 2012034345101 HEARING OFFICER - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 27, 2015 INTRODUCTION Disciplinary Proceeding No. 2012034345101 was filed on November 17, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") (Complainant"). Respondent

    Reference 2012034345101data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.