Nex Systems
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HARVEY B. VAUGHN 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

    01/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARVEY B. VAUGHN, JR., (CRD No. 500700) Respondent. Disciplinary Proceeding No. 2015045409001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from June 2005 through June 2014, Harvey B. Vaughn, Jr. ("Vaughn"), while associated with FINRA member firm WFG Investments. Inc. ("WFG"), willfully failed

    06/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. HARVEY B. VAUGHN, JR., (CRD No. 500700), Respondent. Disciplinary Proceeding No. 2015045409001 Hearing Officer-KBW DEFAULT DECISION June 7, 2016 Respondent willfully violated Article V, Section 2(c) of the NASD and FINRA By-Laws, NASD Rule 2110, NASD IM-1000-1, and FiNRA Rules 1122 and 2010, by failing to timely amend his Form U4 to disclose information relating to his financial

    Reference 2015045409001data-portal.finra.orgfinra.orgdata-portal.finra.org

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