Nex Systems
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GREGORY J. SMITH

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

    09/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220020922-01 TO: Department of Enforcement NASD RE: Gregory J. Smith, Respondent Investment Company/Variable Contracts Representative CRD No. 1342428 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part It below.

    Reference E022002092201data-portal.finra.orgfinra.org

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