Nex Systems
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FRANCIS M. EVANS

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

    04/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANCIS M. EVANS (CRD No. 4479794), Respondent. Disciplinary Proceeding No. 2007008128901 Hearing Officer - MC HEARING PANEL DECISION April 21, 2009 For falsifying signatures on documents related to a customer's annuity policies, in violation of Conduct Rule 2110, Respondent is suspended from associating with any FINRA member firm in all capacities for six months, fined $5,000, and assessed costs.

    Reference 2007008128901data-portal.finra.orgfinra.org

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