Nex Systems
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CHRISTOPHER JOHN FORBES

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

    10/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Christopher John Forbes (CRD No. 727535), Raymond James Forbes (CRD No. 1195375), and Robin Maranda Oscher (CRD No. 1901235), Respondents. Disciplinary Proceeding No. 20070092503-01 Hearing Officer: COMPLAINT The Department of Market Regulation ("Market Regulation") alleges: Summary 1. Beginning on or about February 1, 2007, and continuing through December 16, 2008, Respondents Christopher

    08/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Christopher John Forbes (CRD No. 727535), Marie-Regina Forbes (CRD No. 2106108), Patricia Mary Forbes (CRD No. 2241513), and Raymond James Forbes (CRD No. 1195375), Respondents. Disciplinary Proceeding No. 20070092503-01 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 22, 2014 INTRODUCTION Disciplinary Proceeding No. 20070092503-01 was filed on October 23, 2013, by the

    Reference 2007009250301data-portal.finra.orgfinra.orgdata-portal.finra.org

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