Nex Systems
Type not stated

EDWARD H. JOHNSON

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

    10/03/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD H. JOHNSON (CRD No. 1446749), Respondent Disciplinary Proceeding No. E3B20040206-01 Hearing Officer - AWH DEFAULT DECISION October 3, 2006 Formerly associated person barred from association with any member firm in any capacity for failure to appear for an on-the-record interview, in violation of NASD Procedural Rule 8210 and Conduct Rule 2110. In light of the bar, no further sanctions imposed for private securities

    Reference E3B2004020601finra.orgdata-portal.finra.org

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