Nex Systems
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Further Lane Securities L.P.

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

    03/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. James Gabriel Collard (CRD No. 2812378), Joseph Michael Araiz (CRD No. 1278925), and Further Lane Securities, L.P. (CRD No. 38162), Respondents. Disciplinary Proceeding No. 20120342425-01 COMPLAINT The Department of Market Regulation alleges: Summary 1. From February 2012 through June 2012, Respondent Further Lane Securities, L.P. and its registered representative, Respondent James

    02/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. FURTHER LANE SECURITIES, L.P. (CRD No. 38162), Respondent. Disciplinary Proceeding No. 20120342425-01 Hearing Officer-KBW DEFAULT DECISION February 3, 2017 Respondent Further Lane Securities, L.P. charged excessive markups on bond transactions and failed to adequately supervise the activities of its registered representatives. For these violations, Further Lane is fined $126,673.78. For the

    Reference 2012034242501finra.orgdata-portal.finra.orgdata-portal.finra.org

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