Nex Systems
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Charles Edwin Taylor

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

    08/22/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES EDWIN TAYLOR (CRD No. 443066), JODI OYLER PADGETT (CRD No. 1828918), and JOHN LODGE FARMER (CRD No. 5354041), Respondents. Disciplinary Proceeding No. 2017053382401 Hearing Officer-DW HEARING PANEL DECISION August 22, 2019 Respondents Charles Taylor, Jodi Padgett and John Farmer engaged in undisclosed outside business activities. Respondents were compensated for

    11/15/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Charles Edwin Taylor (CRD No. 443066), Jodi Oyler Padgett (CRD No. 1828918), and John Lodge Farmer (CRD No. 5354041) Respondents. DISCIPLINARY PROCEEDING NO. 2017053382401 The Department of Enforcement alleges: SUMMARY 1. During the period from 1999 through August 2016,

    Reference 2017053382401data-portal.finra.orgdata-portal.finra.orgfinra.org

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