Nex Systems
Type not stated

JACK C. SMITH JR.

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

    09/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0220050158 TO: Department of Enforcement NASD RE: Torrey Pines Securities. Inc.. Member Firm CRD No. 17120 Jack C. Smith. Jr.. Respondent Financial and Operations Principal CRD No. 427869 Pursuant to Rule 9216 of NASD Code of Procedure, Torrey Pines Securities, Inc. ("TPS") and Jack C Smith, Jr. ("Smith") (collectively, the "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference E022005015802data-portal.finra.orgfinra.org

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