Nex Systems
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Clarence Smith

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

    12/29/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066189601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clarence Smith (Respondent) Investment Company Shares and Variable Contracts Representative and Direct Participation Programs Representative CRD No. 2939228 Pursuant to FINRA Rule 9216, Respondent Clarence Smith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020066189601data-portal.finra.orgfinra.org

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