Nex Systems
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CHRISTOPHER LEE

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

    06/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher Lee (CRD No.2784247), Respondent. DISCIPLINARY PROCEEDING No. 2009017726101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2007 and April 2009, Respondent Christopher Lee ("Lee") misappropriated approximately $166,000 from three senior customers by requesting withdrawals from their variable annuities without the customers' knowledge or

    08/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Depart of Enforcement Complainant, v Christopher Lee, CRD No. 2784247, Respondent. Disciplinary Proceeding No. 2009017726101 Hearing Officer LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 18, 2010 INTRODUCTION Disciplinary Proceeding No. 2009017726101 was filed on June 17, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Christopher Lee submitted an Offer of

    Reference 2009017726101data-portal.finra.orgdata-portal.finra.orgfinra.org

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