Nex Systems
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CHRISTOPHER CHARLES SCHAEFFER

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

    04/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER CHARLES SCHAEFFER (CRD No. 1483859), Respondent. DISCIPLINARY PROCEEDING No. 2016049603001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2015 through March 2016, Christopher Charles Schaeffer ("Respondent") willfully failed to disclose that he filed for personal bankruptcy on his Uniform Application for Securities Industry Registration or Transfer ("Form U4").

    10/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER CHARLES SCHAEFFER (CRD No. 1483859), Respondent. Disciplinary Proceeding No. 2016049603001 Hearing Officer–MC DEFAULT DECISION October 6, 2017 Respondent is suspended from associating with any FINRA member firm in any capacity for nine months for willfully failing to update his Form U4. Respondent’s willful violation subjects him to statutory disqualification. Appearances

    Reference 2016049603001data-portal.finra.orgfinra.orgdata-portal.finra.org

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