Nex Systems
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Jay C. Hatton

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

    03/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jay C. Hatton (CRD No. 1725472), Respondent. DISCIPLINARY PROCEEDING No. 2014040661801 COMPLAINT The Department of Enforcement ("Department") alleges: SUMMARY 1. Former CFD Investments, Inc. ("CFD" or "Firm") representative Jay C. Hatton willfully failed to update his Form U4 to disclose that: (i) he was charged with felony offenses in 2005 and 2010; (ii) pled guilty

    02/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jay C. Hatton (CRD No. 1725472), Respondent. Disciplinary Proceeding No. 2014040661801 Hearing Officer-KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 14, 2017 INTRODUCTION Disciplinary Proceeding No. 2014040661801 was filed on March 15, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jay C. Hatton submitted an

    Reference 2014040661801data-portal.finra.orgdata-portal.finra.orgfinra.org

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