Nex Systems
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J. RANDALL GLADDEN

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

    07/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. J. RANDALL GLADDEN (CRD No.1789356), Respondent. DISCIPLINARY PROCEEDING No. 2014038996201 Hearing Officer-DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 19, 2016 INTRODUCTION Disciplinary Proceeding No. 2014038996201 was filed on December 28, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent J. Randall Gladden

    12/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. J. RANDALL GLADDEN (CRD No. 1789356), Respondent. DISCIPLINARY PROCEEDING No. 2014038996201. COMPLAINT- The Department of Enforcement alleges: SUMMARY 1. J. Randall Gladden, while associated with Securities Equity Group ("SEG" or "Firm"), conceived of and participated in creating Church Development Fund, LLC ("Church Development Fund"), and its successor, Church Fund LLC ("Church Fund")

    Reference 2014038996201data-portal.finra.orgdata-portal.finra.orgfinra.org

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