Nex Systems
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HUGH VINCENT MURRAY III

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

    10/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HUGH VINCENT MURRAY III (CRD No. 826261), Respondent. Disciplinary Proceeding No. 2008016437801 Hearing Officer - LBB HEARING PANEL DECISION Dated: October 25, 2012 Respondent Hugh Vincent Murray III is suspended in all supervisory capacities for 90 days and ordered to requalify by examination as a principal before serving

    12/17/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complaint, vs. Hugh Vincent Murray III St. Louis, MO, Respondent. Decision Complaint No. 2008016437801 Dated: December 17, 2013 Respondent failed to supervise the filing of Forms U4 by two registered representatives, in violation of NASD Rules 3010 and 2110, and FINRA Rule 2010. Held, findings and sanctions affirmed; costs sustained. Appearances For the Complainant:

    Reference 2008016437801data-portal.finra.orgfinra.orgdata-portal.finra.org

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