Nex Systems
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ERIC SEGALL

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

    11/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC SEGALL (CRD No. 1071881), Respondent. Disciplinary Proceeding No. 20090207019-01 Hearing Officer - MC HEARING PANEL DECISION November 8, 2013 The Department of Enforcement failed to prove by a preponderance of the evidence that Respondent Eric Segall engaged in unethical conduct. Accordingly, the Hearing Panel dismisses the cause of action charging him with alleged ethical violations of FINRA

    Reference 2009020701901data-portal.finra.orgfinra.org

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