Nex Systems
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Gregory Flemming Jr.

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

    12/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Flemming, Jr. (CRD 2882842), Respondent. DISCIPLINARY PROCEEDING No. 2013037423701 HEARING OFFICER COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While Gregory Flemming, Jr. ("Flemming") was registered with FINRA through an association with John Thomas Financial ("John Thomas") (BD No. 40982) and. separately, with Rockwell Global Capital LLC. (BD No. 142485)

    09/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory Flemming, Jr. (CRD No. 2882842), Respondent. DISCIPLINARY PROCEEDING No. 2013037423701 HEARING OFFICER: MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 9, 2015 INTRODUCTION Disciplinary Proceeding No. 2013037423701 ("Complaint") was filed on December 17, 2014 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2013037423701data-portal.finra.orgfinra.orgdata-portal.finra.org

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