Nex Systems
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Gary Talbot

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

    08/21/2026: Between March 2023 and October 2024, Talbot recommended to one retail customer a series of trades that were excessive and not in the customer’s best interest. As a result, Talbot willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rule 2010. For these violations, Talbot is suspended for four months in all capacities.

    Reference 2023077124801data-portal.finra.orgfinra.org

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