Nex Systems
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DEREK RASHOD QUALLS

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

    12/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEREK RASHOD QUALLS (CRD No. 4419302), Respondent. Disciplinary Proceeding No. 2010024436902 Hearing Officer -LBB DEFAULT DECISION December 23, 2011 Respondent Derek Rashod Qualls is suspended for six months from associating with any FINRA member firm in any capacity and fined $5,000 for violating FINRA Rule 8210 and FINRA Conduct Rule 2010 by failing to respond to request for information and

    Reference 2010024436902data-portal.finra.orgfinra.org

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