Nex Systems
Type not stated

GREGORY K. 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

    08/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090176015 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory K. Smith General Securities Principal CRD No. 1538308 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory K. Smith ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2009017601501data-portal.finra.orgfinra.org

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