Nex Systems
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Bruce H. Jordan

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

    09/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047569601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Newbridge Securities Corporation, Respondent Member Firm CRD No. 104065 Bruce H. Jordan, Respondent General Securities Principal CRD No. 1223556 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Newbridge Securities Corporation and Bruce H. Jordan (collectively "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2016047569601finra.orgdata-portal.finra.org

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