Nex Systems
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CANDIUS J. BANNISTER

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

    02/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANDIUS J. BANNISTER, (CRD No. 5335832) Respondent. Disciplinary Proceeding No. 2012033565601 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 13, 2015 INTRODUCTION Disciplinary Proceeding No. 2012033565601 was filed on September 12, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant), Respondent

    09/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANDIUS J. BANNISTER, (CRD No. 5335832) Respondent. Disciplinary Proceeding No. 2012033565601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Candius J. Bannister (Bannister), while associated with Edward D. Jones & Co., L.P. (Edward Jones or the Firm), borrowed a total of $31,500 from a customer, in contravention of Edward Jones's procedures and FINRA's rules.

    Reference 2012033565601data-portal.finra.orgfinra.orgdata-portal.finra.org

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