Nex Systems
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GREGORY BARTON

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

    05/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Barton (CRD No. 1680043), Respondent. DISCIPLINARY PROCEEDING No. 2013037128401 HEARING OFFICER COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While respondent Gregory Barton was registered with FINRA through several FINRA member firms, he willfully failed to amend his Uniform Application for Securities Industry Registration ("Form U4") to disclose two New York

    10/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREGORY BARTON (CRD No. 1680043), Respondent. Disciplinary Proceeding No. 2013037128401 Hearing Officer-KBW DEFAULT DECISION October 8, 2015 Respondent Gregory Barton willfully violated Article V, Section 2(c) of FINRA's By-Laws, FINRA Rules 1122 and 2010, NASD Interpretative Material 1000-1, and NASD Conduct Rule 2110 by failing to timely amend his Form U4 to reflect six events relating

    Reference 2013037128401data-portal.finra.orgdata-portal.finra.orgfinra.org

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