Nex Systems
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JASON ERIK STEPHENS

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

    06/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011106201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jason Erik Stephens, Respondent Registered Representative CRD No. 3053046 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Jason Erik Stephens ("Respondent" or "Stephens") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2007011106201data-portal.finra.orgfinra.org

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