Nex Systems
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JAY S. LEE

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

    09/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MIDAS SECURITIES, LLC (CRD. No. 103680), WORLD TRADE FINANCIAL CORPORATION (CRD No. 42638), JASON TROY ADAMS (CRD No. 2137404), FRANK EDWARD BRICKELL (CRD NO. 3257725), PATRICK FRANCIS HARTE, JR. (CRD No. 1865650), JAY S. LEE (CRD No. 4338187), AND RODNEY PRESTON MICHEL (CRD No. 1275392), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2005000075703 HEARING OFFICER: ANDREW H. PERKINS ORDER

    01/20/2012: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 ReL No. 66200 / January 20, 2012 Admin. Proc. File No. 3-14308 In the Matter of the Application of MIDAS SECURITIES, LLC, and JAY S. LEE c/o Courtade, Esq. Law Office of John Courtade 4408 Spicewood Springs Road Austin, TX 78759 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDING Unregistered Sales of Securities Conduct Inconsistent

    03/03/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Midas Securities, LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee, and Rodney Preston Michel Los Angeles, CA, Respondents. DECISION Complaint No. 2005000075703 Dated: March 3,2011 Respondents Midas Securities, LLC, World Trade Financial Corporation and Frank Edward Brickell sold unregistered securities in violation of

    05/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MIDAS SECURITIES, LLC (CRD No. 103680), WORLD TRADE FINANCIAL CORPORATION (CRD No. 42638), JASON TROY ADAMS (CRD No. 2137404), FRANK EDWARD BRICKELL (CRD No. 3257725), JAY S. LEE (CRD No. 4338187), and RODNEY PRESTON MICHEL (CRD No. L275392), Respondents. Disciplinary Proceeding No. 2005000075703 Hearing Officer--Andrew H. Perkins AMENDED EXTENDED HEARING PANEL DECISION MAY 12, 2009 Respondents

    Reference 2005000075703data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

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