Nex Systems
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CHRISTOPHER W. BLACK

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

    02/23/2006: NASD NATIONAL ADJUDICATORY COUNCIL Department of Enforcement, Complainant, v. Christopher W. Black, CRD No. 1856976 Respondent. Disciplinary Proceeding No. CAF040084 ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 23, 2006 INTRODUCTION Disciplinary Proceeding No. CAF040084 was filed on November 19, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent Christopher W. Black submitted an Offer of Settlement

    12/21/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER W. BLACK (CRD No. 1856976), Respondent. Disciplinary Proceeding No. CAF040084 HEARING PANEL DECISION Hearing Officer - SW Dated: December 21, 2005 Respondent violated NASD Conduct Rule 2110 by falsifying firm records when he revised his handwritten notes of conversations with a customer after receiving an arbitration claim. For violating Conduct Rule 2110, Respondent is suspended for three months in all capacities and

    Reference CAF040084data-portal.finra.orgfinra.orgdata-portal.finra.org

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