Nex Systems
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GORDON DIHLE

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

    12/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. SPENCER EDWARDS, INC. (CRD No. 22067), and GORDON DIHLE (CRD No. 1851834), Respondents. Disciplinary Proceeding No. 2013035865303 Hearing Officer: CC ORDER ACCEPTING OFFER OFSETTLEMENT Date: December 23, 2015 INTRODUCTION Disciplinary Proceeding No. 2013035865303 was filed on November 2, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    11/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SPENCER EDWARDS, INC. (CRD No. 22067), and GORDON DIHLE (CRD No. 1851834), Respondents. DISCIPLINARY PROCEEDING No. 2013035865303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2011 and December 2012 (the "relevant period"), Spencer Edwards, Inc. ("SEI"), acting through two registered representatives, liquidated approximately 4 billion shares of six penny

    Reference 2013035865303data-portal.finra.orgdata-portal.finra.orgfinra.org

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