Nex Systems
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Christopher T. Harpin

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

    04/02/2025: From August 2018 through April 2021, while associated with Lincoln, Harpin caused at least 638 solicited transactions in 53 customer accounts to be inaccurately recorded as unsolicited. As a result, Harpin violated FINRA Rules 4511 and 2010 and is suspended for two months and fined $5,000.

    Reference 2021071460101data-portal.finra.orgfinra.org

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