Nex Systems
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BRUCE VICTOR ROBERTS

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

    05/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CAROLINA FINANCIAL SECURITIES, LLC (CRD No. 41970), and BRUCE VICTOR ROBERTS (CRD No. 1489110), Respondents. Disciplinary Proceeding No. 2014040295201 Hearing Officer-KBW EXTENDED HEARING PANEL DECISION Member firm made material misrepresentations and omissions in connection with the sale of securities.

    04/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CAROLINA FINANCIAL SECURITIES, LLC, (BD No. 41970) and BRUCE VICTOR ROBERTS (CRD No. 1489110) Respondents. Disciplinary Proceeding No. 2014040295201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from February 14, 2014 through February 21, 2014, Carolina Financial Securities, LLC (Carolina), acting through Bruce Victor Roberts (Roberts), its President

    Reference 2014040295201data-portal.finra.orgfinra.orgdata-portal.finra.org

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