Nex Systems
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CHARLES T. MASON

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

    07/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Darren D. Gibson CRD No. 2311950 and Charles T. Mason CRD No. 2206257 Respondents DISCIPLINARY PROCEEDING No. 2011026598101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This matter involves a scheme to defraud investors through series of private placement oil and gas lease offerings orchestrated by Brendan W. Coughlin and Henry D. Harrison, the co-founders, managing

    11/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Darren D. Gibson,(CRD No. 2311950), and Charles T. Mason, (CRD No. 2206257), Respondents. Disciplinary Proceeding No. 2011026598101 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 14, 2012 INTRODUCTION Disciplinary Proceeding No. 2011026598101 was filed on July 7, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2011026598101data-portal.finra.orgdata-portal.finra.orgfinra.org

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