Nex Systems
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CURTIS MICHAEL WORRELL

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

    04/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Charles Robert Cobb (CRD No. 1505020), and Curtis Michael Worrell (CRD No. 1084980), Respondents. Disciplinary Proceeding No. 2012032740401 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 19, 2016 INTRODUCTION Disciplinary Proceeding No. 2012032740401 was filed on September 3, 2015 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    09/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. CHARLES ROBERT COBB (CRD No. 1505020), and CURTIS MICHAEL WORRELL (CRD No. 1084980), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2012032740401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about November 2007 through in or about October 2008, while registered with FINRA member firm Madison Avenue Securities, Inc. ("Madison Avenue" or the "Firm"), and acting outside

    Reference 2012032740401data-portal.finra.orgfinra.orgdata-portal.finra.org

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