Nex Systems
Type not stated

Francis Smookler 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

    09/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Francis Smookler, Jr. (CRD No. 2712672), Respondent Disciplinary Proceeding No. 2016048490901 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 8, 2017

    Reference 2016048490901data-portal.finra.orgfinra.org

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