Nex Systems
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JAN D. SMIDA

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

    11/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JAN D. SMIDA (CRD No. 4052976), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2008013405801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jan D. Smida (Smida) recommended and sold a variable universal life insurance policy with a face amount of $1 million (the $1 million VUL) to his 77 year-old customer.

    09/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jan D. Smida, CRD No. 4052976, Respondent. DISCIPLINARY PROCEEDING NO. 2008013405801 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 15,2011 INTRODUCTION Disciplinary Proceeding No. 2008013405801 was filed on November 17,2010 by the Department of Enforcement of the Financial

    Reference 2008013405801data-portal.finra.orgfinra.orgdata-portal.finra.org

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