Nex Systems
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GREGORY F. SUMMERS

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

    06/27/2006: NASD Department of Enforcement, Complainant, v. Gregory F. Summers, CRD No. 1080556 Respondent. Disciplinary Proceeding No. E052003030702 Hearing Officer: DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 27, 2006 INTRODUCTION Disciplinary Proceeding No. E052003030702 was filed on October 20, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Gregory F. Summers submitted an Offer of Settlement

    10/20/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory F. Summers, CRD No. 1080556 Respondent. Disciplinary Proceeding No. E052003030702 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Gregory F. Summers ("Summers") was initially associated with a member of NASD in November 1982. He became registered as a General Securities Representative in December

    Reference E052003030702data-portal.finra.orgdata-portal.finra.orgfinra.org

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