Nex Systems
Type not stated

Cecil E. Nivens

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

    09/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CECIL E. NIVENS (CRD No. 2110613), Respondent. Disciplinary Proceeding No. 2014040873501 Hearing Officer- CC DEFAULT DECISION September 18, 2017

    03/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cecil E. Nivens (CRD No. 2110613), Respondent. DISCIPLINARY PROCEEDING No. 2014040873501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about February 25, 2012 through on or about April 5, 2013 (the "Relevant Period"), while registered with NYLife Securities, LLC ("NYLife" or the "Firm"), Respondent Cecil E. Nivens ("Nivens" or "Respondent") circumvented NYLife's written

    Reference 2014040873501data-portal.finra.orgfinra.orgdata-portal.finra.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.