Nex Systems
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CHARLES H. MELVIN JR.

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

    06/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles H. Melvin, Jr. (CRD No. 1274431), Respondent. DISCIPLINARY PROCEEDING No. 2012034045101 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Charles H. Melvin, Jr. ("Melvin" or "Respondent") willfully failed to timely amend his Uniform Application for Securities Industry Registration ("Form U4") to disclose three federal tax

    04/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES H. MELVIN, JR. (CRD No. 1274431), Respondent Disciplinary Proceeding No. 2012034045101 Hearing Officer-KBW HEARING PANEL DECISION April 2, 2015 Charles H. Melvin, Jr., willfully violated Article V, Section 2(c) of FINRA's By-Laws and FINRA Rules 1122 and 2010 by failing to timely amend his Form U4 to disclose that he was subject to three federal tax liens.

    Reference 2012034045101data-portal.finra.orgdata-portal.finra.orgfinra.org

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