Nex Systems
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ELIJAH SMITH

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

    11/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20119259626 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elijah Smith, Respondent Not currently registered CRD No. 5632806 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Elijah Smith, ("Respondent" or "Smith") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2011025962601data-portal.finra.orgfinra.org

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