Nex Systems
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Ferrell Lee Rollins Jr.

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

    09/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063901501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ferrell Lee Rollins Jr., Respondent Former General Securities Representative CRD No. 1449560 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ferrell Lee Rollins Jr. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063901501finra.orgdata-portal.finra.org

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