Nex Systems
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CHRISTOPHER D. O'CONNOR

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

    05/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHRISTOPHER D. O'CONNOR CRD No. 2887894, RESPONDENT. COMPLAINT The Department of Enforcement alleges: RESPONDENT & JURISDICTION 1. Respondent Christopher D. O'Connor first entered the securities industry in April 1997 when he became registered with Morgan Stanley & Co., Inc. ("Morgan Stanley"), a FINRA member organization. Respondent remained employed at Morgan Stanley holding the positions of

    10/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER D. O'CONNOR (CRD No. 2887894), Respondent. Disciplinary Proceeding No. 20070094401 Hearing Officer - LBB DEFAULT DECISION October 1, 2008 Respondent is barred for conversion of customer funds in violation of Conduct Rules 2330(a) and 2110. No additional sanction is imposed for his falsification of account documents or signing a customer's name without authorization in violation of Rule

    Reference 2007009440101data-portal.finra.orgdata-portal.finra.orgfinra.org

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