Nex Systems
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GERARD CHANDLER GREMILLION

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

    05/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gerard Chandler Gremillion (CRD No. 1816351), Respondent. DISCIPLINARY PROCEEDING No. 2015044600801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In April 2006 and July 2010, the United States Internal Revenue Service ("IRS") filed federal tax liens against Respondent Gerard Chandler Gremillion (hereinafter "Gremillion'' or "Respondent"), during which time Gremillion was associated

    04/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GERARD CHANDLER GREMILLION (CRD No. 1816351), Respondent. Disciplinary Proceeding No. 2015044600801 Hearing Officer–MC AMENDED HEARING PANEL DECISION April 5, 2018 Respondent willfully failed to update his Form U4 to disclose two tax liens, a bankruptcy filing, and a civil monetary judgment, and provided a false answer in an amendment to his Form U4. For these violations, Respondent is suspended

    Reference 2015044600801data-portal.finra.orgdata-portal.finra.orgfinra.org

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