Nex Systems
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Innovation Partners LLC

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

    08/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. Disciplinary Proceeding No. 2016050957901 Hearing Officer—CC ORDER ACCEPTING OFFER OF SETTLEMENT ON BEHALF OF INNOVATION PARTNERS LLC AND YANIQUE LAWRENCE Date: August 26, 2019 INTRODUCTION Disciplinary Proceeding No. 2016050957901 was filed on November 26,

    11/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Innovation Partners LLC (BD No. 146344), Patrick Emanuel Sutherland (CRD No. 3042322), and Yanique Lawrence (CRD No. 3234186), Respondents. DISCIPLINARY PROCEEDING NO. 2016050957901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about October 28, 2016 through on or about July 31, 2017

    Reference 2016050957901data-portal.finra.orgfinra.orgdata-portal.finra.org

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