Nex Systems
Type not stated

CHRISTOPHER J. MORAN

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

    12/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Miles A. Bahl (CRD No. 10092), Conrad R. Huss (CRD No. 2047874), and Christopher J. Moran (CRD No. 1095395), Respondents. DISCIPLINARY PROCEEDING No. 2011027338901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case arises out of fraudulent misrepresentations made by Respondents Miles Bahl and Conrad Huss in connection with the solicitation and sale of over $3 million

    09/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Conrad R. Huss (CRD No. 2047874), and Christopher J. Moran (CRD No. 1095395), Respondents. Disciplinary Proceeding No. 2011027338901 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 1, 2015 INTRODUCTION Disciplinary Proceeding No. 2011027338901 was filed on December 8, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2011027338901data-portal.finra.orgdata-portal.finra.orgfinra.org

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