Nex Systems
Type not stated

CHARLES MAJOR

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

    03/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Share Financial Services, Inc. (CRD No. 11226), and Charles Major (CRD No. 2748243), Respondents. DISCIPLINARY PROCEEDING No. 2012030729402 HEARING OFFICER: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 16, 2015 INTRODUCTION Disciplinary Proceeding No. 2012030729402 was filed on September 22, 2014, by the Department of Enforcement of the Financial

    09/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Share Financial Services, Inc. (CRD No. 11226), and Charles Major (CRD No. 2748243), Respondents. DISCIPLINARY PROCEEDING No. 2012030729402 HEARING OFFICER: COMPLAINT. The Department of Enforcement alleges: SUMMARY 1. On at least eight occasions during the period from December 31, 2010 through February 28, 2012, Share Financial Services, Inc. (Share Financial) conducted a securities business

    Reference 2012030729402data-portal.finra.orgdata-portal.finra.orgfinra.org

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