Nex Systems
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CHAD A. MCCARTNEY

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

    09/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHAD A. McCartney (CRD No. 4294388), Respondent. Disciplinary Proceeding No. 2010023719601 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION September 15, 2011 The Respondent is barred from associating with any member firm in any capacity for violating NASD Conduct Rule 2110 by falsifying an expense report and submitting fake supporting documentation (including a forged letter) to obtain

    12/10/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Chad A. McCartney Atlanta, GA, Respondent. DECISION Complaint No. 2010023719601 Dated: December 10, 2012 Registered representative falsified an expense report and supporting documentation to obtain a $500 reimbursement to which he was not entitled. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Thomas M. Huber, Esq., Department of

    Reference 2010023719601data-portal.finra.orgdata-portal.finra.orgfinra.org

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