Nex Systems
Type not stated

DARRAH LEE GLEASON

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

    04/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Darrah Lee Gleason, CRD No. 2442684, Respondent. Disciplinary Proceeding No. 2011026395801 Hearing Officer - RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 2, 2013 INTRODUCTION Disciplinary Proceeding No. 2011026395801 was filed on September 6, 2012 (Complaint), by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Darrah Lee

    09/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Darrah Lee Gleason (CRD No. 2442684), Respondent. DISCIPLINARY PROCEEDING No. 2011026395801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Darrah Lee Gleason served as the registered representative for customer SW since 1996. For most of that time, SW engaged independent investment advisors to manage her assets. 2. In March 2007, Gleason recommended an independent investment advisor to

    Reference 2011026395801finra.orgdata-portal.finra.orgdata-portal.finra.org

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