Nex Systems
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Jason Howell Poff

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

    05/13/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Howell Poff CRD No. 4078570, Respondent. Disciplinary Proceeding No. 2018058501502 Hearing Officer—MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: Mary 13, 2021 INTRODUCTION Disciplinary Proceeding No. 2018058501502 was filed on December 23, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Jason Howell Poff submitted

    12/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Howell Poff (CRD No. 4078570), Respondent. DISCIPLINARY PROCEEDING NO. 2018058501502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2016 through February 2018, while registered with FINRA through LPL Financial LLC, Jason Howell Poff engaged in two undisclosed and unapproved outside business activities (OBAs) through a business that he owned and operated. In February 2016,

    Reference 2018058501502data-portal.finra.orgfinra.orgdata-portal.finra.org

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