Nex Systems
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HARRY DERRICK WINTERS

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

    04/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. HARRY DERRICK WINTERS, (CRD 1844323) RESPONDENT. DISCIPLINARY PROCEEDING No. 20090190424 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2007 through April 2007, Respondent sold to three elderly customers installment plan contracts offered by National Foundation of America ("NFOA"), a Tennessee non-profit corporation that misrepresented itself to the public as an approved

    06/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Harry Derrick Winters CRD No. 1844323, Respondent. Disciplinary Proceeding No. 20090190424-01 Hearing Officer Lawrence B. Bernard ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 5, 2012 INTRODUCTION Disciplinary Proceeding No. 20090190424-01 was filed on March 2, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Harry Derrick

    Reference 2009019042401data-portal.finra.orgdata-portal.finra.orgfinra.org

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