Nex Systems
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GARY ALLEN MITCHELL

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

    06/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GARY ALLEN MITCHELL (CRD No. 1617340) Respondent. Disciplinary Proceeding No. 2007009077401 Hearing Officer-RSH DEFAULT DECISION June 15, 2009 For violating Conduct Rules 3040 and 2110, the Respondent was suspended from associating with any member firm for one year, fined $20,400, and ordered to pay restitution of $95,000. Appearances William Brice La Hue, Senior Regional Counsel, Atlanta, GA and

    Reference 2007009077401finra.orgdata-portal.finra.org

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