Nex Systems
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Howell Gregory Ferguson

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

    02/08/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065572901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Howell Gregory Ferguson (Respondent) Former General Securities Representative CRD No. 4400990 Pursuant to FINRA Rule 9216, Respondent Howell Gregory Ferguson submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020065572901finra.orgdata-portal.finra.org

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