Nex Systems
Type not stated

Henry Clay Smith II

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Henry Clay Smith II CRD No. 1736102, Respondent. Disciplinary Proceeding No. 2019062898303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 30, 2013, and December 18, 2020, Respondent Henry Clay Smith II, the chief executive officer and chief compliance officer of Supreme Alliance, LLC, failed to develop a written Identity Theft Prevention Program reasonably designed to detect

    Reference 2019062898303data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.