Nex Systems
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Douglas Hodges

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

    06/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013034954002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hilltop Securities Independent Network, Inc., Respondent FINRA Member Firm CRD No. 17587 Douglas Hodges, Respondent General Securities Principal CRD No. 4253217 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hilltop Securities Independent Network, Inc., which was formerly known as SWS Financial Services,

    Reference 2013034954002data-portal.finra.orgfinra.org

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