Nex Systems
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James Gabriel Collard

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

    03/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. James Gabriel Collard (CRD No. 2812378), Joseph Michael Araiz (CRD No. 1278925), and Further Lane Securities, L.P. (CRD No. 38162), Respondents. Disciplinary Proceeding No. 20120342425-01 COMPLAINT The Department of Market Regulation alleges: Summary 1. From February 2012 through June 2012, Respondent Further Lane Securities, L.P. and its registered representative, Respondent James

    09/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, V. James Gabriel Collard (CRD No. 2812378), Respondent. Disciplinary Proceeding No. 20120342425-01 Hearing Officer MJD ORDER ACCEPTING OFFER OF SETTLEMENT September 23, 2016 INTRODUCTION Disciplinary Proceeding No. 20120342425-01 was filed on March 11, 2016, by the Department of Market Regulation of the Financial Industry Regulatory Authority ("FINRA" or "Complainant"). Respondent

    Reference 2012034242501finra.orgdata-portal.finra.orgdata-portal.finra.org

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