Nex Systems
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CALVIN B. GRIGSBY

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

    12/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CALVIN B. GRISBY (CRD 1123572), Respondent. Disciplinary Proceeding No. 2012030570301 Hearing Officer-LOM HEARING PANEL DECISION December 2, 2014 Respondent violated FINRA Rule 2010 by continuing to act as a Financial and Operations Principal ("FINOP") when he was prohibited from doing so pursuant to an agreement to settle a prior disciplinary

    05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Calvin B. Grigsby (CRD No. 1123572), Respondent. DISCIPLINARY PROCEEDING No. 2012030570301 HEARING OFFICER - LOM AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Calvin B. Grigsby violated the sanctions contained in a FINRA Letter of Acceptance, Waiver and Consent (AWC) by acting as a Limited Principal--Financial and Operations (FinOP) prior to re-qualifying

    Reference 2012030570301data-portal.finra.orgdata-portal.finra.orgfinra.org

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