Nex Systems
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GARY R. FOURNIER

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

    04/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GARY R. FOURNIER (CRD No. 211949), Respondent. Disciplinary Proceeding No. 20070094013 Complainant Hearing Officer - SNB EXTENDED HEARING PANEL DECISION April 4, 2013 The Hearing Panel finds that Respondent exercised discretion by purchasing municipal bonds in customer accounts after his firm prohibited discretionary trading, in violation of MSRB Rule G-19(d). For this violation, Respondent is fined

    Reference 2007009401301data-portal.finra.orgfinra.org

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