Nex Systems
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DOUGLAS BARKER

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

    01/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Douglas Barker (CRD No. 1290719), Respondent. DISCIPLINARY PROCEEDING No. 2007009520202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2004 and April 2006, Douglas Barker ("Barker") recommended and effected unsuitable short-term sales, in nine customers' accounts, of 136 closed end funds ("CEF") less than six months after purchasing them at their initial public offering

    07/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS BARKER (CRD No. 1290719), Respondent. Disciplinary Proceeding No. 2007009520202 Hearing Officer - MC DEFAULT DECISION July 6, 2010 Respondent recommended and effected unsuitable transactions in customer accounts, in violation of Conduct Rules 2110 and 2310. For doing so, Respondent is suspended from associating with any FINRA member firm in any capacity for six months and fined $125,000.

    Reference 2007009520202data-portal.finra.orgdata-portal.finra.orgfinra.org

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